DG
David J. Gagnon
BROOKSTONE WEALTH ADVISORS
MADISON, CT 06443
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CRD#: 2200199
DG
Professional summary
David John Gagnon, who also goes by Dave Gagnon, is a registered financial advisor currently at BROOKSTONE WEALTH ADVISORS, LLC located in Madison, Connecticut.
David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. David has worked at 11 firms and has passed the Series 63, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dave Gagnon
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.
The Eagle Team; Investment Related; 563 Bielenberg Dr, Woodbury, MN 55125; Insurance; Insurance Agent; Started 01/2019; 10 hours/month Devoted; 10 hours/month Devoted during securities trading hours; offer sale of life insurance products.
Connecticut Retirement Academy, Investment Related, 23 Woodland Rd. Ste C3 PO Box 1070 Madison, CT 06443, investment education, owner, 7 hrs per month (zero during trading), A 2 night class at 3 hours per night is provided to attendees to teach various topics pertaining to retirement planning. Financial products are not discussed during the classes.
College Funding Solutions Inc.; Non Investment related; 23 Woodland Rd. Ste C3 PO Box 1070 Madison, CT 06443; College Planning services; Agent; Started 05/2009; 2 hours/month devoted; 2 hours/month devoted during securities trading hours; offer college planning services.
United Tax Partners LLC; Non Investment related; 23 Woodland Rd. Ste C3 PO Box 1070 Madison, CT 06443; CPA Services; CPA; Started 01/2009; 20 hours/month devoted; 20 hours/month devoted during securities trading hours; offer tax preparation services.
Madison Tax Center; Non Investment Related; 23 Woodland Rd. Ste C3 PO Box 1070 Madison, CT 06443; Tax Preparation; Owner; Started 01/2009; 20 hours/month devoted; 20 hours/month devoted during securities trading hours; offer tax preparation services.�
Madison Mens Softball League; Non Investment Related; 23 Woodland Rd. Ste C3 PO Box 1070 Madison, CT 06443; Softball; Treasurer; Started 02/2008; 1 hour/month devoted; 1 hour/month devoted during securities trading hours; Treasurer
David Gagnon Insurance; Investment Related; 23 Woodland Rd. Ste C3 PO Box 1070 Madison, CT 06443; Insurance; Owner; Started 08/1993; 120-200 hours/month devoted; 120 hours/month devoted during securities trading hours; offer sale of insurance products.
Legacy Lock; Non Investment Related; 23 Woodland Rd. Ste C3 PO Box 1070 Madison, CT 06443; Trust Related Services; Member; Started 12/2019; 10-15 Hours/Month devoted; 10-15 Hours/Month devoted during securities trading hours; Offer Trust and Will Services.
CRS (Client Relationship Summary) - RIA
Click below to view David John 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
June 6, 2014 - Present
BROOKSTONE WEALTH ADVISORS, LLC
Office #1: 23 Woodland Road Suite C3, Madison, CT 06443RIA
CRD#: 137658
MADISON, CT
Past
January 31, 2014 - June 4, 2014
REGULUS FINANCIAL GROUP, LLC
BD
CRD#: 150631
MADISON, CT
Past
October 14, 2013 - January 31, 2014
CENTER STREET SECURITIES, INC.
BD
CRD#: 26898
MADISON, CT
Past
June 18, 2013 - June 4, 2014
REGAL INVESTMENT ADVISORS LLC
RIA
CRD#: 125004
MADISON, CT
Past
June 14, 2013 - June 17, 2013
REGAL INVESTMENT ADVISORS LLC
RIA
CRD#: 125004
MADISON, CT
Past
September 27, 2011 - June 13, 2013
MAIN STREET ADVISORS, LLC
RIA
CRD#: 116303
MADISON, CT
Past
July 30, 2010 - September 13, 2010
INDEPENDENT FINANCIAL GROUP, LLC
RIA
CRD#: 7717
MADISON, CT
Past
July 30, 2010 - October 18, 2011
INDEPENDENT FINANCIAL GROUP, LLC
BD
CRD#: 7717
MADISON, CT
Past
November 2, 2009 - July 30, 2010
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
MADISON, CT
Past
January 3, 2007 - December 31, 2010
MAIN STREET ADVISORS, LLC
RIA
CRD#: 116303
MADISON, CT
Past
August 14, 2006 - November 13, 2009
MAIN STREET SECURITIES, LLC
BD
CRD#: 47127
MADISON, CT
Past
December 7, 1994 - August 18, 2006
FFP ADVISORY SERVICES INC
RIA
CRD#: 110778
MADISON, CT
Past
September 16, 1994 - August 17, 2006
FFP SECURITIES, INC.
BD
CRD#: 16337
MADISON, CT
Past
October 13, 1992 - September 20, 1994
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
DALLAS, TX
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".
BW
BROOKSTONE WEALTH ADVISORS, LLC
BROOKSTONE WEALTH ADVISORS, LLC | RWA, INC | RETIREMENT WEALTH ADVISORS, LLC | RETIREMENT WEALTH ADVISORS, INC. | RETIREMENT RESOURCES | FORMULAFOLIO INVESTMENT STRATEGIES
CRD#: 137658 / SEC#: 801-67628
RIA
Registered Investment Advisory firm - (3/16/2007 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.Highlighted states indicate IAR registrations
IAR
Connecticut(6/6/2014)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
BW
BROOKSTONE WEALTH ADVISORS, LLC
BROOKSTONE WEALTH ADVISORS, LLC | RWA, INC | RETIREMENT WEALTH ADVISORS, LLC | RETIREMENT WEALTH ADVISORS, INC. | RETIREMENT RESOURCES | FORMULAFOLIO INVESTMENT STRATEGIES
CRD#: 137658 / SEC#: 801-67628
RIA
Registered Investment Advisory firm - (3/16/2007 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1745 S Naperville Rd Suite 200, Wheaton, IL 60189
Mailing Address
Phone number
(630) 653-1400
Established
Firm type
Fiscal year end
# of Employees
244
SEC notice filing (52 States and Territories)
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
BROOKSTONE WEALTH ADVISORS, LLC
CRD#: 137658Madison, CT 06443TRUST BUT VERIFY
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