David A. Gagnon
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 Alan Gagnon was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1987. David had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 18, 1994 - December 31, 2015
GROVE POINT INVESTMENTS, LLC
May 27, 1994 - June 20, 1994
GROVE POINT INVESTMENTS, LLC
January 29, 1993 - June 3, 1994
LOMBARD SECURITIES INCORPORATED
November 19, 1990 - March 9, 1993
HORNOR, TOWNSEND & KENT, LLC
December 7, 1989 - November 16, 1990
GROVE POINT INVESTMENTS, LLC
October 21, 1987 - April 21, 1988
BLINDER, ROBINSON & CO., 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
GROVE POINT INVESTMENTS, LLC
CRD#: 1763 / SEC#: 801-undefined, 8-31165
Contact information
FINRA licenses (4 States and Territories)
Disclosures
| Regulatory Event | 17 |
| Arbitration | 3 |
| Bond | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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