David G. Kern

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CRD#: 1610247

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.

David Gregory Kern was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1987. David had worked at 7 firms and has passed the Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 22, 2010 - March 5, 2012

GAGNON SECURITIES, LLC

CRD#: 103727

NEW YORK, NY

Past

October 4, 2001 - June 17, 2003

QUASAR DISTRIBUTORS, LLC

CRD#: 103848

MILWAUKEE, WI

Past

February 4, 1999 - October 4, 2001

FIRST FUND DISTRIBUTORS, INC.

CRD#: 27038

PHOENIX, AZ

Past

February 24, 1995 - May 6, 1997

FOUNDERS ASSET MANAGEMENT, INC.

CRD#: 323

DENVER, CO

Past

March 7, 1990 - January 14, 1995

DELAWARE DISTRIBUTORS, L.P.

CRD#: 14232

PHILADELPHIA, PA

Past

May 22, 1989 - February 5, 1990

SPALDING ASSOCIATES, INC.

CRD#: 24235

Past

January 21, 1987 - January 23, 1989

CANACCORD GENUITY LLC

CRD#: 1020

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".

GAGNON SECURITIES, LLC

CRD#: 103727 / SEC#: 801-64836, 8-52218

RIA

Registered Investment Advisory firm - SEC (10/21/2005 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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: 3/3/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/21/2010

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/13/2010

General Securities Principal Examination

Current Firm

GAGNON SECURITIES, LLC

CRD#: 103727 / SEC#: 801-64836, 8-52218

RIA

Registered Investment Advisory firm - SEC (10/21/2005 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

1370 Avenue Of The Americas 26th Floor, New York, NY 10019

Mailing Address

1370 Avenue Of The Americas 26th Floor, New York, NY 10019

Phone number

(212) 554-5000

Established

Delaware since 10/21/1999

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (46 States and Territories)

FINRA licenses (47 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

GS FORM ADV PART 2 8.13.25 (8/13/2025)

Direct owners and executive officers

Name	Position	CRD#
GAGNON, NEIL JOSEPH	MANAGER/CEO
DREW, MAUREEN ONEILL	MEMBER
GAGNON, BRIAN JOSEPH	MEMBER
TAYLOR, WILLIS GITT	MEMBER	4321965
BEINSTEIN, HENRY CARL	MEMBER	4584546
CAPPELLO, JAMES MATTHEW	MEMBER	4124259
D'ALESSANDRO, MARIANNE	CHIEF FINANCIAL OFFICER	5019195
D'ALESSANDRO, MARIANNE	MEMBER	5019195
FERRANTE, LISA CATHERINE	MEMBER	3135415
FERRANTE, LISA CATHERINE	CROP/ROP	3135415
FERRANTE, LISA CATHERINE	CHIEF ADMINISTRATIVE OFFICER	3135415
FERRANTE, LISA CATHERINE	CHIEF COMPLIANCE OFFICER	3135415
GAROFALO, ADRIENNE MICHELLE	MEMBER	2383265
JAMPOLE, MATTHEW HOWARD	MEMBER	3272478
JILLA, SARAH G	MEMBER	6239295
LEE, DWIGHT EISENHOWER	MEMBER
ROBERTS, CYNTHIA ANDREA	MEMBER	2818779
ROBOHM, JONATHAN WILLIAMS	MEMBER	2933186
TRANCHIDA, ALISON ANNE	OPERATIONS MANAGER	4345426
TRANCHIDA, ALISON O'BRIEN	MEMBER	4345426

Regulatory assets under management

Total Number of Accounts	1,203
AUM (Assets Under Management)	$ 545,317,238

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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Firm Stability Insights

David G. Kern

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

QUASAR DISTRIBUTORS, LLC

FIRST FUND DISTRIBUTORS, INC.

FOUNDERS ASSET MANAGEMENT, INC.

DELAWARE DISTRIBUTORS, L.P.

SPALDING ASSOCIATES, INC.

CANACCORD GENUITY LLC

Primary Firm SEC Registration

GAGNON SECURITIES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 3/3/2010

Series 7

Date: 1/21/2010

Series 24

Date: 9/13/2010

Current Firm

GAGNON SECURITIES, LLC

Contact information

SEC notice filing (46 States and Territories)

FINRA licenses (47 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

GAGNON SECURITIES, LLC

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