Robert F. 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.
Robert Francis Gagnon was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 2001. Robert had worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 30 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 20, 2010 - September 10, 2018
BTIG, LLC
February 29, 2008 - March 11, 2010
RBC CAPITAL MARKETS, LLC
January 18, 2008 - February 29, 2008
RBC CAPITAL MARKETS CORPORATION
November 29, 2005 - September 13, 2007
NEWEDGE USA, LLC
October 28, 2003 - September 9, 2005
MORGAN STANLEY & CO. LLC
February 7, 2001 - October 14, 2003
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
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
BTIG, LLC
CRD#: 122225 / SEC#: , 8-65473
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 11 |
| Civil Event | 1 |
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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