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Gordon Witherspoon

40 Years of Experience
Hunt Valley, MD
1 DisclosureBroker

Gordon Witherspoon is a registered investment advisor at RBC Capital Markets, LLC, based in Hunt Valley, MD, with 40 years of industry experience. Gordon operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Charitable Giving, Estate Planning, Investment Management, Retirement Planning. Their firm serves 283,910 clients with $310B in assets under management.

Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
3777 advisors
IM Fee
Planning only
Assets Under Management
$310.4B

Fee Structure

RBC Financial Planning services are offered for a one-time fee, providing a personalized analysis and written advice to help you assess your financial situation and your ability to pursue specific financial goals. Fees are negotiated within a range of $1,000 to $20,000, but in certain cases a fee higher than $20,000 may be negotiated.

One-Time Plan:$1,000 - $20,000
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Location

225 Schilling Circle, Suite 250, Hunt Valley, MD, 21031-1125

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History

Regulatory History (1)
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
September 2008
Settled
Employment History
Current Registrations
RBC Capital Markets, LLC
October 2020 - Present · 5 yrs 9 mos
RBC Capital Markets, LLCBroker
October 2020 - Present · 5 yrs 9 mos
RBC Capital Markets, LLC
October 2020 - Present · 5 yrs 9 mos
Previous Registrations
Morgan StanleyBroker
June 2009 - October 2020 · 11 yrs 4 mos
Morgan Stanley
June 2009 - October 2020 · 11 yrs 4 mos
Morgan Stanley & CO. IncorporatedBroker
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley & CO. Incorporated
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley
March 2005 - April 2007 · 2 yrs 1 mo
Morgan Stanley Dw INC.Broker
March 2005 - April 2007 · 2 yrs 1 mo
UBS Financial Services INC.
January 1999 - March 2005 · 6 yrs 2 mos
UBS Financial Services INC.Broker
January 1995 - March 2005 · 10 yrs 2 mos
Kidder, Peabody & CO. IncorporatedBroker
May 1986 - January 1995 · 8 yrs 8 mos
First Investors CorporationBroker
November 1984 - January 1985 · 2 mos
State Registrations26 states
ALCACOCTDCDEFLGAHIILKYLAMAMDMNNCNJNYOHPASCSDUTVAWAWV
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.
Gordon Witherspoon - Financial Advisor | TrueAdvisor