George A. Gagnon
Professional summary
George Arthur Gagnon JR is a registered financial advisor currently at CAPITOL SECURITIES MANAGEMENT, INC. located in Tampa, Florida.
George is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1970. George has 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view George Arthur Gagnon JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view George Arthur Gagnon JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 27, 2021 - Present
CAPITOL SECURITIES MANAGEMENT, INC.
September 19, 2007 - Present
CAPITOL SECURITIES MANAGEMENT, INC.
Office #1: 601 South Harbour Island Blvd Suite 109, Tampa, FL 33602December 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
(3/9/2012)
(9/19/2007)
(8/27/2021)
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 ExaminationFINRA
Current 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
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