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TREVOR LEE GORDON
CRD#: 2195122
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Previous Investment Adviser
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Previous Broker
BARRED BY FINRA OR THE SEC
FINRA has suspended this individual from acting as a broker. Please see the detailed report for more information
FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
20122013201420152016201720182019202020212022IASANDLAPPER WEALTH MANAGEMENT, LLC (CRD# 41534)2015 - 2020 (5 years)IASANDLAPPER WEALTH MANAGEMENT, LLC (CRD# 164443)2012 - 2014 (2 years)
Disclosure(s)
View By:
8/20/2021
Regulatory
Final
11/5/2019
Customer Dispute
Settled
10/9/2019
Customer Dispute
Pending
9/29/2017
Regulatory
Final
Previous Registration(s)
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02/05/2015 - 12/31/2020 SANDLAPPER WEALTH MANAGEMENT, LLC (CRD#:41534) GREENVILLE, SC
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09/27/2012 - 12/01/2014 SANDLAPPER WEALTH MANAGEMENT, LLC (CRD#:164443) GREENVILLE, SC
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.