George 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.
George Arthur Gagnon JR was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1970. George had worked at 6 firms and has passed the Series 66, Series 65, Series 63, Series 52TO, Series 99TO, Series 7TO, SIE, Series 3, Series 5, Series 1, Series 27, Series 53, Series 24 and Series 4 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 27, 2021 - August 3, 2026
CAPITOL SECURITIES MANAGEMENT, INC.
September 19, 2007 - August 3, 2026
CAPITOL SECURITIES MANAGEMENT, INC.
December 19, 1983 - September 19, 2007
FIRST SOUTHEASTERN SECURITIES GROUP, INCORPORATED
February 8, 1979 - January 13, 1984
NATIONSBANC SECURITIES OF GEORGIA, INC.
July 19, 1977 - April 6, 1979
THOMSON MCKINNON SECURITIES INC.
December 17, 1974 - September 2, 1977
REYNOLDS SECURITIES, INC.
August 10, 1970 - January 7, 1975
SHEARSON, HAMMILL & CO., INCORPORATED
Primary Firm SEC Registration
CAPITOL SECURITIES MANAGEMENT, INC.
CRD#: 14169 / SEC#: 801-41033, 8-30353
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
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 5
Date: 11/13/1981
Interest Rate Options ExaminationSeries 1
Date: 8/7/1970
Registered Representative ExaminationCurrent Firm
CAPITOL SECURITIES MANAGEMENT, INC.
CRD#: 14169 / SEC#: 801-41033, 8-30353
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 3,745 |
| AUM (Assets Under Management) | $ 1,818,741,357 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 2 |
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.
