Christopher J. Ahern
Professional Summary
Christopher J. Ahern was a registered financial advisor. Christopher was a previously registered financial professional and started their career in finance 2000 - 2018. Christopher had worked at 5 firms and has passed the Series 63, SIE, Series 55 and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures on record.
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.
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Years of Experience
26 years registered in the securities industry
Current & Past Employments
Past
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Current Firm
GAGNON SECURITIES, LLC
Contact Information
Main Address
1370 Avenue Of The Americas 26th Floor, New York, NY 10019Mailing Address
1370 Avenue Of The Americas 26th Floor, New York, NY 10019Phone Number
(212) 554-5000Established
Delaware since 10/21/1999Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Small# of Employees
19SEC notice filing (48 States and Territories)
Registered to provide investment advisory services in 48 US states and territories.
FINRA licenses (48 States and Territories)
Registered to provide investment advisory services in 48 US states and territories.
Documents
Part 2 Brochures
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 |
| COLBY, JAMES | MEMBER | 6321555 |
| D'ALESSANDRO, MARIANNE | CHIEF FINANCIAL OFFICER | 5019195 |
| D'ALESSANDRO, MARIANNE | MEMBER | 5019195 |
| FERRANTE, LISA CATHERINE | CHIEF ADMINISTRATIVE OFFICER | 3135415 |
| FERRANTE, LISA CATHERINE | MEMBER | 3135415 |
| FERRANTE, LISA CATHERINE | CHIEF COMPLIANCE OFFICER | 3135415 |
| FERRANTE, LISA CATHERINE | CROP/ROP | 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 |
| ROSENFELD, GABRIELLE | MEMBER | 7157921 |
| TRANCHIDA, ALISON ANNE | OPERATIONS MANAGER | 4345426 |
| TRANCHIDA, ALISON O'BRIEN | MEMBER | 4345426 |
| VINGIELLO, JESSICA ROSE | MEMBER | 7178104 |
Regulatory Assets Under Management
Total Number of Accounts
1,202AUM (Assets Under Management)
$529,713,650Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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 advisor shows no other business activity.
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Primary Firm SEC Registration
GAGNON SECURITIES, LLC
State Registrations and Notice Filings
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed May 2002Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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