Roland P. Gagne
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Biddeford, ME 04005
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CRD#: 2124641
Professional summary
Roland Patrick Gagne, AIF®, CFP®, ChFC® is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Biddeford, Maine and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Biddeford, Maine.
Roland is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Roland has worked at 5 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 51 and Series 24 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.
1) BIDDEFORD SACO ROTARY CLUB (NON-INVESTMENT RELATED), P.O. BOX 298, SACO, ME, INVESTMENT COMMITTEE MEMBER AND TRUSTEE; START DATE: 1/19/10; 2 HR/WK, 0 HR DURING SECURITIES TRADING HRS; MONITORING AND OVERSIGHT OF THE COMPANY B INVESTMENT FUND. ACTIVITIES INVOLVE THE REVIEW OF THE FUNDS IPS, SPENDING POLICY STATEMENT, HIRING/REPLACEMENT OF AN OUTSIDE INVESTMENT MANAGER (WHO PERFORMS ALLOCATION AND PROVIDES ADVICE) FOR THE FUND, ENSURE COMPLIANCE WITH PROCEDURES FOR COMMITTEE AND INTERACTION WITH THE BOARD; AS TRUSTEE, DEVELOPMENT OF IPS AND SPENDING POLICY, MONITORING AND REVIEW. 2) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL-20/WK-20/TRADING. 3) PENSION PROFESSIONALS - 180 POOL STREET, BIDDEFORD, ME, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES 04/01/95, INV REL, PRESIDENT, 10 HR/WK- 10/TRADING HR. 4) ATTACHE BUSINESS CENTER LLC, 180 POOL STREET, BIDDEFORD, ME, 07/2019. SOLE MEMBER, LLC TO OWN COMMERCIAL RENTAL PROPERTY. NIR-5/MO-0/TRADING. 5) OLPS, US, 180 POOL STREET, STE 300, BIDDLEFORD, ME, BOARD MEMBER OF A NON-PUBLIC ENTITY, 09/09/20, 5/MO- 0/TRADING 6) LE CRETIN, LLC, 11 BUSQUE BLVD, STANDISH ME 04084, 09/2015, OWNER, REAL ESTATE, NIR, 16 HR/MO, 0 HR/TRADING 7) MYHEROCFO AND COMPASS CFO, 4400 US 9, Suite 1000, Freehold NJ 07728, United States, 08/03/2024, IAR, Accounting/Bookkeeping/Payroll Services, NIR, 1 HR/MO, 0 HR/TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Roland Patrick Gagne's 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®
CFP®
Start date: 1997
Experience
Current
March 28, 2005 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 180 Pool St, Biddeford, ME 04005Office #2: 1 New Hampshire Ave. Ste 125, Portsmouth, NH 03801Office #3: 155 Fleet St., Portsmouth, NH 03801RIA
CRD#: 134139
Biddeford, ME
Current
November 6, 1998 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 180 Pool Street, Biddeford, ME 04005Office #2: 1 New Hampshire Av. Ste. 125, Portsmouth, NH 03801Office #3: 155 Fleet St., Portsmouth, NH 03801BD
CRD#: 39543
Biddeford, ME
Past
January 8, 2003 - January 26, 2009
PENSION PROFESSIONALS
RIA
CRD#: 120624
BIDDEFORD, ME
Past
April 10, 2002 - March 28, 2005
CAMBRIDGE INVESTMENT RESEARCH, INC.
RIA
CRD#: 39543
LONDONDERRY, NH
Past
April 19, 1995 - November 10, 1998
INVESTACORP, INC.
BD
CRD#: 7684
MIAMI, FL
Past
May 1, 1991 - May 3, 1995
GUARDIAN INVESTOR SERVICES LLC
BD
CRD#: 6635
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".
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
Registered Investment Advisory firm - (2/3/2005 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alaska(12/20/2024)
RR
Arizona(10/23/2014)
RR
California(1/20/2017)
RR
Connecticut(5/15/2000)
RR
Florida(11/13/1998)
RR
Georgia(8/16/2023)
RR
Illinois(8/16/2023)
RR
Maine(11/12/1998)
IAR
Maine(3/28/2005)
RR
Massachusetts(11/18/1998)
RR
Michigan(10/14/2015)
RR
New Hampshire(11/17/1998)
IAR
New Hampshire(8/7/2017)
RR
New Mexico(7/11/2016)
RR
New York(5/12/2020)
RR
North Carolina(9/4/2015)
RR
Ohio(10/31/2024)
RR
Pennsylvania(8/5/2019)
RR
South Carolina(4/20/2010)
RR
Virginia(3/28/2018)
RR
Wisconsin(7/27/2015)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
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Contact information
Main Address
1776 Pleasant Plain Rd., Fairfield, IA 52556-8757
Mailing Address
Phone number
(641) 472-5100
Established
Firm type
Fiscal year end
# of Employees
3,361
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
