James C. Gagnier
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James Christopher Gagnier was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1984. James had worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 13, 2008 - December 31, 2014
ABERDEEN FUND DISTRIBUTORS, LLC
January 19, 2007 - August 18, 2008
FORESIDE FUND SERVICES, LLC
May 30, 2003 - December 2, 2005
DEAM INVESTOR SERVICES, INC.
May 30, 2001 - May 30, 2003
DEUTSCHE BANK SECURITIES INC.
October 20, 1999 - March 7, 2001
FORUM FINANCIAL SERVICES, LLC
June 12, 1997 - July 23, 1999
SEI INVESTMENTS DISTRIBUTION CO.
July 25, 1987 - October 29, 1987
PAINEWEBBER REAL ESTATE SECURITIES INC.
September 20, 1984 - April 28, 1997
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
ABERDEEN FUND DISTRIBUTORS, LLC
CRD#: 146230 / SEC#: , 8-67799
Contact information
FINRA licenses (53 States and Territories)
Red Flags
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