DG
DG

David Gordon

42 Years of Experience
Deerfield, IL
6 DisclosuresBroker

David Gordon is a registered investment advisor at Morgan Stanley, based in Deerfield, IL, with 42 years of industry experience. Their practice areas include Investment Management. Their firm serves 2,539,760 clients with $1700B in assets under management.

Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
23050 advisors
IM Fee
Planning only
Assets Under Management
$1650.0B

Fee Structure

Investment management only (planning not offered)
Annual Retainer:Up to $500,000/year
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Location

111 South Pfingsten Road, Suite 200, Deerfield, IL, 60015

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History

Regulatory History (6)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
February 2009
Denied
Customer Dispute
December 2005
Denied
Customer Dispute
May 2002
Denied
Customer Dispute
November 2000
Denied
Customer Dispute
March 2000
Denied
Customer Dispute
February 1995
Settled
Other Business Activities

David is involved in various activities including owning a manufacturing business, serving as an arbitration hearing panel member, coaching sports car drivers, and contributing to financial publications. He also teaches ethics for an investment management program and is involved in yoga education and instruction.

Employment History
Current Registrations
Morgan Stanley
March 2013 - Present · 13 yrs 2 mos
Morgan StanleyBroker
March 2013 - Present · 13 yrs 2 mos
Previous Registrations
Wells Fargo Advisors, LLC
May 1998 - April 2013 · 14 yrs 11 mos
Wells Fargo Advisors, LLCBroker
February 1991 - April 2013 · 22 yrs 2 mos
Mesirow Investment Services, INC.Broker
February 1988 - March 1991 · 3 yrs 1 mo
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
December 1983 - February 1988 · 4 yrs 2 mos
State Registrations28 states
ARAZCACODCDEFLHIILINKSMAMDMIMNMSNCNJNYOHPASCTNTXUTVAWAWI
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.