DG
David A. Gagnon
CETERA INVESTMENT ADVISERS LLC
KINGSTON, NY 12401
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CRD#: 3159291
DG
Professional summary
David Arthur Gagnon is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Kingston, New York and CETERA FINANCIAL SPECIALISTS LLC located in Kingston, New York.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. David has worked at 3 firms and has passed the Series 63, SIE, Series 62 and Series 6 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.
1) NAME OF OTHER BUSINESS: DANIEL D GAGNON CPA PC DBA GAGNON + ASSOCIATES CPA'S; INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: CPA PRACTICE; START DATE: 09/2021 POSITION/TITLE/RELATIONSHIP: VICE PRESIDENT/CPA; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: ACCOUNTING, AUDIT, BOOKKEEPING; 2) ARMOR DYNAMICS INC; NOT INV RELATED; R&D, MANUFACTURER OF ARMOR PROTECTION SYSTEMS FOR GOVT & PRIVATE ENTITIES; MANAGING PARTNER/CFO SINCE 1/05; FINANCING ARRANGEMENTS W/BANKS, SALES SUPPORT, ASSISTANCE WITH R&D; DAVID WARREN: PRES, WAYNE SHAEFFER: VP, JIMMY/RICHARD CHANDLER: VP; 10HRS/WK 3) HUDSON VALLEY FINANCIAL ADVISORS, INVESTMENT RELATED, SAME AS REGISTERED LOCATION, FINANCIAL SERVICES, STARTED 4/2018, PARTNER APX NUMBER OF HOURS PER WEEK: 20, DURING TRADING HOURS BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES, FINANCIAL PLANNING AND INVESTMENTS 4) NAME OF OTHER BUSINESS: GAGNON REALTY HOLDINGS, LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: REAL ESTATE RENTAL; START DATE: 1/2020; POSITION/TITLE/RELATIONSHIP: CO-OWNER; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: 5; BRIEF DESCRIPTION OF DUTIES: PAY BILLS, LIGHT REPAIR WORK, ARRANGE CONTRACTOR SERVICE FOR BUILDING; 6) NAME OF OTHER BUSINESS: RIP VANWINKLE COUNCIL, BSA; INVESTMENT RELATED: NO; ADDRESS: 1300 ULSTER AVE STE 107 KINGSTON NY 12401; NATURE OF BUSINESS: NON PROFIT; START DATE: 1/2020; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: ADVISE FINANCE CHAIR, SUPPORTS AUDIT COMMITTEE;
CRS (Client Relationship Summary) - RIA
Click below to view David Arthur 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
April 12, 2021 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 212 Fair Street, Kingston, NY 12401RIA
CRD#: 105644
KINGSTON, NY
Current
October 24, 2005 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 212 Fair Street, Kingston, NY 12401BD
CRD#: 10358
KINGSTON, NY
Past
January 18, 2000 - October 24, 2005
C. J. M. PLANNING CORP.
BD
CRD#: 5698
POMPTON LAKES, NJ
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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.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
New York(10/24/2005)
IAR
New York(4/12/2021)
RR
Ohio(1/2/2020)
RR
West Virginia(1/2/2020)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 11/25/2014
Corporate Securities Limited Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Kingston, NY 12401TRUST BUT VERIFY
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