NG
Neil J. Gagnon
GAGNON SECURITIES
New York, NY 10019
Some features on this profile are disabled
CRD#: 216440
NG
Professional summary
Neil Joseph Gagnon is a registered financial advisor currently at GAGNON SECURITIES, LLC located in New York, New York.
Neil is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1970. Neil has worked at 4 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 86, Series 87, Series 16, PC, Series 24 and Series 40 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.
Entity: Gagnon Administrative Services Investment Related :YesAddress: 1370 Avenue of the Americas 26th Floor NY NY 10019Nature of Business: Collect fees from the affiliated companies of Gagnon SecuritiesPosition Title Relationship: Managing Member Start Date: 2001Number of Hours Monthly: 0Number of Hours Monthly during Trading Hours: 0Duties: Partners of Gagnon Securities are equal Partners of Gagnon Administrative Services and Gagnon Securities Partners Fund. Entity: Gagnon Securities Partners Fund /Gagnon Securities Private Partners Fund Investment Related: YesAddress: 1370 Avenue of the Americas 26th Floor NY NY 10019Nature of Business: Invest and Reinvest the capital of the Gagnon SecuritiesPosition Title Relationship: Managing Member Start Date: 2014Number of Hours Monthly: As Needed Less than 5 HoursNumber of Hours Monthly during Trading Hours: As Needed Less than 5 HoursDuties: Manage and Invest the assets of Gagnon Securities Partners Fund Entity: Gagnon Advisors LLC Investment Related: YesAddress: 1370 Avenue of the Americas 26th Floor NY NY 10019Nature of Business: Registered Investment Advisor and Investment Manager to GIS Fund of Funds and Gagnon Investment Associates (Pooled Investment Vehicle)Position Title Relationship: PrincipalStart Date: 2005Number of Hours Monthly: 160Number of Hours Monthly during Trading Hours: 160Invest and Manage clients of Gagnon Advisors (GIS Fund of Funds and Gagnon Investment Associates Onshore/ Offshore Fund Entity: GagnonLee Associates/Gagnon Lee Management Investment Related: YesAddress:1370 Avenue of the Americas 26th Floor NY NY 10019Nature of Business: GagnonLee Associates - General Partner to Darwin Partnership (Pooled Investment Vehicle) Position Title Relationship: Managing Member Start Date: 2005Number of Hours Monthly: 160Number of Hours Monthly during Trading Hours: 160Invest and Manage Darwin Partnership Entity: Hilltop Aviation Investment Related: NoAddress:1370 Avenue of the Americas 26th Floor NY NY 10019Nature of Business: Holds Neil Gagnon's PlanePosition Title Relationship: PartnerStart Date: 1997Number of Hours Monthly: 0Number of Hours Monthly during Trading Hours:0This Entity holds the Plane. Entity: Gagnon Family Foundation Investment Related: NoAddress: P O BOX 691 BERNARDSVILLE NJ 07924Nature of Business: Foundation Position Title Relationship: TrusteeStart Date: 1994 Number of Hours Monthly: 5Number of Hours Monthly during Trading Hours:0To make charitable contributions to various organizations. Entity: Penguin Ice Cream ShopInvestment Related: NoAddress: 3 Claremont Rd. Bernardsville, NJ 07924Nature of Business: Ice Cream ShopPosition Title Relationship: OwnerStart Date: July 2020Number of Hours Monthly: 3Number of Hours Monthly during Trading Hours:0Owner however no day to day duties. Entity: Cathay Advisory Board Investment Related: YesAddress: 470 West Avenue, Stamford CT 06902Nature of Business: Private Fund Position Title Relationship: Advisory Board member Start Date: February 2025Number of Hours Monthly: 1Number of Hours Monthly during Trading Hours:0Member of an Advisory Board which represents investors in the various Cathay funds.
CRS (Client Relationship Summary) - RIA
Click below to view Neil Joseph Gagnon's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Neil Joseph Gagnon'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®
NoneExperience
Current
November 30, 2021 - Present
GAGNON SECURITIES, LLC
Office #1: 1370 Avenue Of The Americas, New York, NY 10019Office #2: 1370 6th Avenue 26th Floor, New York, NY 10019RIA
BD
CRD#: 103727
New York, NY
Current
June 19, 2000 - Present
GAGNON SECURITIES, LLC
Office #1: 1370 Avenue Of The Americas, New York, NY 10019Office #2: 1370 Avenue Of The Americas 26th Floor, New York, NY 10019RIA
BD
CRD#: 103727
New York, NY
Past
January 24, 2000 - September 26, 2000
HERZOG, HEINE, GEDULD, LLC
BD
CRD#: 2186
NEW YORK, NY
Past
June 12, 1974 - January 31, 2000
GILDER GAGNON HOWE & CO. LLC
BD
CRD#: 2002
NEW YORK, NY
Past
November 10, 1970 - July 24, 1974
HAMBRECHT & QUIST LLC
BD
CRD#: 940
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".
GS
GAGNON SECURITIES, LLC
GAGNON SECURITIES, LLC
CRD#: 103727 / SEC#: 801-64836, 8-52218
RIA
Registered Investment Advisory firm - SEC (10/21/2005 Approved)BD
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.
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
Alabama(11/14/2006)
RR
Arizona(9/27/2000)
RR
Arkansas(11/15/2021)
RR
California(6/30/2000)
RR
Colorado(7/19/2000)
RR
Connecticut(7/25/2000)
RR
District of Columbia(8/17/2000)
RR
Florida(7/17/2000)
RR
Georgia(7/10/2000)
RR
Idaho(7/14/2000)
RR
Illinois(9/20/2000)
RR
Indiana(3/8/2017)
RR
Kansas(4/2/2019)
RR
Kentucky(4/8/2005)
RR
Louisiana(9/27/2000)
RR
Maine(5/5/2015)
RR
Maryland(7/13/2000)
RR
Massachusetts(10/20/2000)
RR
Michigan(10/25/2000)
RR
Minnesota(1/14/2004)
RR
Mississippi(6/28/2000)
RR
Missouri(1/4/2002)
RR
Nebraska(4/19/2022)
RR
Nevada(10/2/2000)
RR
New Hampshire(11/27/2007)
RR
New Jersey(9/27/2000)
RR
New Mexico(10/17/2007)
RR
New York(6/19/2000)
IAR
New York(11/30/2021)
RR
North Carolina(8/28/2003)
RR
Ohio(9/29/2000)
RR
Oklahoma(12/5/2014)
RR
Oregon(8/22/2000)
RR
Pennsylvania(10/10/2000)
RR
Rhode Island(7/25/2000)
RR
South Carolina(9/27/2000)
RR
South Dakota(7/15/2024)
RR
Tennessee(1/9/2019)
RR
Texas(8/6/2000)
RR
Vermont(10/17/2011)
RR
Washington(8/7/2001)
RR
Wyoming(9/24/2003)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
PC
Date: 5/20/1977
AMEX Put and Call ExamPrincipal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 40
Date: 11/9/1970
Registered Principal ExaminationSRO Registrations
RR
FINRA
Current Firm
GS
GAGNON SECURITIES, LLC
GAGNON SECURITIES, LLC
CRD#: 103727 / SEC#: 801-64836, 8-52218
RIA
Registered Investment Advisory firm - SEC (10/21/2005 Approved)BD
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
20
SEC notice filing (46 States and Territories)
FINRA licenses (47 States and Territories)
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.
