Joan M. Gagnon
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Joan Marie Gagnon was a registered financial professional .
Joan is a previously registered financial professional and started their career in finance in 1999. Joan had worked at 4 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 15, 2013 - October 1, 2018
GENESIS WEALTH ADVISORS, LLC
July 3, 2002 - December 31, 2013
GAGNON WEALTH MANAGEMENT, LLC
October 18, 1999 - September 30, 2002
COMMONWEALTH FINANCIAL NETWORK
July 2, 1999 - October 22, 1999
SIGNATOR INVESTORS, INC.
Primary Firm SEC Registration
GENESIS WEALTH ADVISORS, LLC
CRD#: 158388 / SEC#: 801-72604
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
GENESIS WEALTH ADVISORS, LLC
CRD#: 158388 / SEC#: 801-72604
Contact information
SEC notice filing (7 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 544 |
| AUM (Assets Under Management) | $ 175,197,606 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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