David G. Gagnon

ACADEMY SECURITIES

New York, NY 10017

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CRD#: 2526915

Professional summary

David George Gagnon is a registered financial professional currently at ACADEMY SECURITIES, INC. located in New York, New York.

David is registered as a RR (Registered Representative) and started their career in finance in 1995. David has worked at 3 firms and has passed the Series 63, Series 57TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

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The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view David George Gagnon's CRS (Customer Relationship Summary).

Certified licenses

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None

Experience

Current

August 2, 2021 - Present

ACADEMY SECURITIES, INC.

Office #1: 622 3rd Avenue 12th Floor, New York, NY 10017

CRD#: 17433

New York, NY

Past

July 29, 2009 - August 16, 2021

JEFFERIES LLC

CRD#: 2347

SAN FRANCISCO, CA

Past

April 27, 1995 - November 29, 2000

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

California
(8/2/2021)

New Mexico
(9/18/2024)

New York
(8/2/2021)

Exams

State Security Law Exam

Series 63

Date: 7/24/2009

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/28/2009

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/29/2015

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

ACADEMY SECURITIES, INC.

ACADEMY ASSET MANAGEMENT | STERLING INVESTMENT SERVICES, INC. | LASALLE BROKERAGE SERVICES, INC. | ACADEMY SECURITIES, INC.

CRD#: 17433 / SEC#: , 8-35173

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

622 3rd Avenue 12th Floor, New York, NY 10017

Mailing Address

622 3rd Avenue 12th Floor, New York, NY 10017

Phone number

(646) 736-3995

Established

Delaware since 11/07/1985

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (38 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
MIMS, RONALD CHANCE	CHAIRMAN, CEO	5637540
GRAHAM, ANTHONY R	FINOP	4959159
GRAHAM, ANTHONY R	PRINCIPAL OPERATIONS OFFICER	4959159
GRAHAM, ANTHONY R	PRINCIPAL FINANCIAL OFFICER	4959159
GRAHAM, ANTHONY R	COO	4959159
MCCONKEY, PHILIP JOSEPH	VICE CHAIRMAN	3253139
WILCOX, SPENCER HAMILTON	PRESIDENT	5802885
BOYD, MICHAEL BARTOW	CHIEF COMPLIANCE OFFICER, MUNICIPAL SECURITIES PRINCIPAL,REGISTERED OPTIONS PRINCIPAL, AML OFFICER	2557814

Disclosures

Regulatory Event

Red Flags

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David G. Gagnon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view David George Gagnon's CRS (Customer Relationship Summary).

Certified licenses

Experience

JEFFERIES LLC

UBS FINANCIAL SERVICES INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/24/2009

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 7/28/2009

Series 24

Date: 4/29/2015

FINRA

Current Firm

ACADEMY SECURITIES, INC.

Contact information

FINRA licenses (38 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

ACADEMY SECURITIES, INC.

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