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Detailed Report
Joseph Michael Gordon
JOE GORDON
CRD#: 706758
IA
Investment Adviser
B
Broker
SUMMIT FINANCIAL, LLCCRD#: 299322 324 BLACKWELL ST.
SUITE 1130
DURHAM, NC 27703
PURSHE KAPLAN STERLING INVESTMENTSCRD#: 35747 324 Blackwell St
Suite 1130
Durham, NC 27703
Registration History
19801985199019952000200520102015202020252 FIRMS2024 - Present (<1 year)BVALMARK SECURITIES, INC. (CRD# 31243)2022 - 2024 (1 year)BMOLONEY SECURITIES CO., INC. (CRD# 38535)2011 - 2013 (2 years)BCW SECURITIES, LLC (CRD# 124496)2006 - 2011 (5 years)BCAPITAL INVESTMENT GROUP, INC. (CRD# 14752)1990 - 2006 (16 years)BINVESMART SECURITIES, LLC (CRD# 104168)2001 - 2001 (<1 year)BMUTUAL SERVICE CORPORATION (CRD# 4806)1989 - 1989 (<1 year)BLOWRY FINANCIAL SERVICES CORPO... (CRD# 7291)1984 - 1989 (4 years)BTACOMA SECURITIES, INC. (CRD# 7127)1983 - 1984 (1 year)BPML SECURITIES COMPANY (CRD# 4082)1980 - 1982 (2 years)IAGORDON ASSET MANAGEMENT, LLC (CRD# 118471)2011 - 2024 (12 years)
License(s)

State Registrations

B
North Carolina 6/3/2024
B
South Carolina 6/3/2024
IA
North Carolina 11/22/2024

SRO Registrations

B
 FINRA

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
SUMMIT FINANCIAL, LLC (CRD#:299322)
324 BLACKWELL ST. SUITE 1130, DURHAM, NC 27703
Registered with this firm since 11/22/2024
B
PURSHE KAPLAN STERLING INVESTMENTS (CRD#:35747)
324 Blackwell St Suite 1130, Durham, NC 27703
Registered with this firm since 6/3/2024
Previous Registration(s)
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IA
 12/19/2011 - 11/22/2024 GORDON ASSET MANAGEMENT, LLC (CRD#:118471) DURHAM, NC
B
 10/03/2022 - 03/01/2024 VALMARK SECURITIES, INC. (CRD#:31243) Durham, NC
B
 12/09/2011 - 12/31/2013 MOLONEY SECURITIES CO., INC. (CRD#:38535) DURHAM, NC
B
 07/06/2006 - 12/15/2011 CW SECURITIES, LLC (CRD#:124496) DURHAM, NC
B
 01/02/1990 - 07/07/2006 CAPITAL INVESTMENT GROUP, INC. (CRD#:14752) DURHAM, NC
B
 01/25/2001 - 04/10/2001 INVESMART SECURITIES, LLC (CRD#:104168) PITTSBURGH, PA
B
 03/31/1989 - 12/31/1989 MUTUAL SERVICE CORPORATION (CRD#:4806) BOSTON, MA
B
 04/18/1984 - 03/31/1989 LOWRY FINANCIAL SERVICES CORPORATION (CRD#:7291) NORTH PALM BEACH, FL
B
 03/24/1983 - 05/23/1984 TACOMA SECURITIES, INC. (CRD#:7127)
B
 04/01/1980 - 12/29/1982 PML SECURITIES COMPANY (CRD#:4082)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
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.
IA
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.