Who is Richard Gordon (CRD#: 5168640)?
Richard Gordon is a financial advisor and senior Managing Director at First Republic Investment Management in San Francisco, California. Richard began his financial profession in 2007 as an IAR (Investment Advisor Representative) and RR (Registered Representative). Richard has worked at four firms and has passed the Series 66, SIE, Series 3, and Series 7 exams.
This article will go deeper into Richard Gordon’s past, uncovering hidden disclosures and SEC litigations, as well as analyzing the legal consequences.
About First Republic Investment Management
First Republic Private Wealth Management is an advisory firm situated in San Francisco, California. The team believes in customized approaches rather than a one-size-fits-all strategy. They provide wealth management plans that address your entire financial picture. Clients of First Republic Private Wealth Management work with a single wealth advisor who oversees a team of banking, investment management, trust, and brokerage specialists who collaborate and collaborate with you to effectively address your particular circumstance.
First Republic Private Wealth Management comprises First Republic Trust Company, First Republic Trust Company of Delaware LLC, First Republic Investment Management Inc., an SEC Registered Investment Advisor, and First Republic Securities Company, LLC, Member FINRA / SIPC.
The company offers Investment management services for high-net-worth individuals, families, pooled investment vehicles, pension and profit-sharing plans, charity organizations, and state municipal and government entities. The firm is a wealth management specialist that also provides trust, brokerage, and banking services. Additionally, the firm invests in public equities, fixed-income, and alternative investment markets.
What is a Financial Advisor?
A financial advisor is a specialist who offers professional financial advice to people looking to accomplish particular financial goals. You work with a financial advisor to develop a thorough financial plan that is specific to your situation, much like you would hire an architect to construct the blueprint for your home. Understanding your existing financial condition, including your income, costs, savings, and spending patterns, is a requirement for this collaboration.
First Republic Investment Management Services
First Republic Investment Management Services offers a wide range of services, some of which are as follows:
Investment Management Services:
First Republic offers objective, individualized wealth management solutions. Their wealth managers deliver customized investment advice to individuals, companies, governmental entities, and many nonprofit organizations.
Brokerage Services:
Their professionals offer full-service and self-directed brokerage services, with the sole goal of developing the best solutions for you. Their one-of-a-kind platform offers brokerage, trading, and custody services.
Trust Services:
First Republic Trust Company and First Republic Trust Company of Delaware LLC provide hands-on, personalized trust services, handling delicate matters with experience, objectivity, and intelligent decision-making.
Richard Gordon Disclosures: BrokerCheck, FINRA, And SEC
BrokerCheck report of Richard Gordon includes information such as employment history, professional qualification, disciplinary actions, criminal convictions, civil judgment, and arbitration awards as well as disclosures events.
BrokerCheck
Source: https://brokercheck.finra.org/individual/summary/5168640
SEC Litigations & Forms
Source: https://secsearch.sec.gov/search?affiliate=secsearch&sort_by=&query=%27Richard+Gordon%27
Richard Gordon Lawsuits
Most court cases filed in the United States of America are archived on CourtListener, UniCourt, Law.com, Justia, Trellis, law, and Law360. If Richard Gordon has been involved in any such lawsuits, then you can find the documents using the links down below:
There might be more pending lawsuits against Richard Gordon that are not listed on these directories. Lawsuit files are often deleted from online directories. So if you cannot find any lawsuits against Richard Gordon on these websites, then you can contact the local authorities and check if they have a physical copy of any lawsuits.
CourtListener
UniCourt
Law.com
Law360.com
Trellis.law
Justia
Richard Gordon Complaints and Legal Battles
The following websites/directories are the best sources for finding complaints, litigations, and disputes against finance advisors. You can find all the complaints against Richard Gordon using the websites down below:
Sonn Law Group
SEC.gov
White Law Group
MDF Law
Israels & Neuman, PLC
Klayman Toskes
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