Dennis P. Fagan

FAGAN ASSOCIATES

Troy, NY 12180

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CRD#: 1372863

Professional summary

Dennis Patrick Fagan is a registered financial advisor currently at FAGAN ASSOCIATES INC located in Troy, New York.

Dennis is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. Dennis has worked at 5 firms and has passed the Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dennis Patrick Fagan's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

April 10, 2018 - Present

FAGAN ASSOCIATES INC

Office #1: 767 Hoosick Road, Troy, NY 12180

RIA

CRD#: 107562

Troy, NY

Past

September 17, 2014 - December 31, 2017

FAGAN ASSOCIATES INC

RIA

CRD#: 107562

TROY, NY

Past

October 2, 1989 - December 31, 1996

CADARET, GRANT & CO., INC.

CRD#: 10641

SYRACUSE, NY

Past

September 20, 1989 - October 2, 1989

CADARET, GRANT & CO., INC.

CRD#: 16404

Past

April 1, 1986 - September 6, 1989

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

Past

June 11, 1985 - September 6, 1989

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

FAGAN ASSOCIATES INC

CRD#: 107562 / SEC#: 801-50955

RIA

Registered Investment Advisory firm - (3/6/1996 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New York
(7/11/2021)

IAR

Texas
(4/10/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 8/2/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/19/1990

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/1/1985

Investment Company Products/Variable Contracts Representative Examination

Current Firm

FAGAN ASSOCIATES INC

CRD#: 107562 / SEC#: 801-50955

RIA

Registered Investment Advisory firm - (3/6/1996 Approved)

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Contact information

Main Address

767 Hoosick Road, Troy, NY 12180

Mailing Address

Phone number

(518) 279-1044

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (17 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

07 07 2025 FAI FORM ADV 2A AND 2B FINAL (7/7/2025)

Regulatory assets under management

Total Number of Accounts	2,950
AUM (Assets Under Management)	$ 801,637,420

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Dennis P. Fagan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dennis Patrick Fagan's CRS (Customer Relationship Summary).

Certified licenses

Experience

FAGAN ASSOCIATES INC

CADARET, GRANT & CO., INC.

CADARET, GRANT & CO., INC.

MSI FINANCIAL SERVICES, INC.

METROPOLITAN LIFE INSURANCE COMPANY

Primary Firm SEC Registration

FAGAN ASSOCIATES INC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/2/1986

Series 7

Date: 7/19/1990

Series 6

Date: 6/1/1985

Current Firm

FAGAN ASSOCIATES INC

Contact information

SEC notice filing (17 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FAGAN ASSOCIATES INC

TRUST BUT VERIFY

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