Aaron M. Gagnier

SUCCESS WEALTH MANAGEMENT LLC

Warwick, RI 02886

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CRD#: 4426756

Professional summary

Aaron Matthew Gagnier, who also goes by Aaron M. Gagnier, is a registered financial advisor currently at SUCCESS WEALTH MANAGEMENT LLC located in Warwick, Rhode Island.

Aaron is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Aaron has worked at 8 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Aaron M. Gagnier

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.

INDEPENDENT AGENT DBA CHARTER FINANCIAL GROUP POSITION: District Vice President NATURE: Insurance DBA INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 06/01/2018 ADDRESS: Warwick RI 02886, United States DESCRIPTION: Manage 15 agents

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Aaron Matthew Gagnier's CRS (Customer Relationship Summary).

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®

None

Experience

Current

January 28, 2019 - Present

SUCCESS WEALTH MANAGEMENT LLC

Office #1: 275 West Natick Road Suite 450, Warwick, RI 02886Office #2: 1616 Gar Highway, Somerset, MA 02726

RIA

CRD#: 299094

Warwick, RI

Past

December 20, 2017 - January 23, 2019

QUESTAR ASSET MANAGEMENT, INC.

RIA

CRD#: 133358

WARWICK, RI

Past

November 10, 2016 - November 6, 2017

CAPITAL ANALYSTS

RIA

CRD#: 162200

Warwick, RI

Past

August 2, 2016 - November 6, 2017

LINCOLN INVESTMENT

RIA

CRD#: 519

Warwick, RI

Past

May 26, 2016 - November 6, 2017

LINCOLN INVESTMENT

CRD#: 519

Warwick, RI

Past

October 14, 2004 - August 10, 2006

VALIC FINANCIAL ADVISORS, INC.

RIA

CRD#: 42803

WALTHAM, MA

Past

October 14, 2004 - August 10, 2006

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803

WALTHAM, MA

Past

March 4, 2003 - September 25, 2004

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

CRANSTON, RI

Past

October 29, 2002 - September 25, 2004

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

October 29, 2002 - September 25, 2004

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

July 18, 2001 - July 9, 2002

GRAYSON FINANCIAL LLC

CRD#: 11764

RED BANK, 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".

SUCCESS WEALTH MANAGEMENT LLC

SUCCESS WEALTH MANAGEMENT | SUCCESS WEALTH MANAGEMENT, LLC | SUCCESS WEALTH MANAGEMENT LLC

CRD#: 299094 / SEC#: 801-129100

RIA

Registered Investment Advisory firm - (11/30/2023 Approved)

California

Registered Investment Advisory firm - (1/4/2024 Terminated)

Florida

Registered Investment Advisory firm - (12/5/2023 Terminated)

Indiana

Registered Investment Advisory firm - (12/6/2023 Terminated)

Iowa

Registered Investment Advisory firm - (12/5/2023 Terminated)

Kansas

Registered Investment Advisory firm - (12/5/2023 Terminated)

Massachusetts

Registered Investment Advisory firm - (12/5/2023 Terminated)

Michigan

Registered Investment Advisory firm - (12/11/2023 Terminated)

Missouri

Registered Investment Advisory firm - (12/5/2023 Terminated)

New York

Registered Investment Advisory firm - (12/5/2023 Terminated)

North Carolina

Registered Investment Advisory firm - (12/5/2023 Terminated)

Ohio

Registered Investment Advisory firm - (12/5/2023 Terminated)

Pennsylvania

Registered Investment Advisory firm - (12/5/2023 Terminated)

Rhode Island

Registered Investment Advisory firm - (12/7/2023 Terminated)

South Carolina

Registered Investment Advisory firm - (12/5/2023 Terminated)

Texas

Registered Investment Advisory firm - (12/5/2023 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Massachusetts
(1/2/2025)

IAR

Rhode Island
(1/28/2019)

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

State Security Law Exam

IAR

Series 66

Date: 7/28/2016

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 3/3/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/26/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 11/6/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/26/2016

General Securities Representative Examination

Current Firm

SUCCESS WEALTH MANAGEMENT LLC

SUCCESS WEALTH MANAGEMENT | SUCCESS WEALTH MANAGEMENT, LLC | SUCCESS WEALTH MANAGEMENT LLC

CRD#: 299094 / SEC#: 801-129100

RIA

Registered Investment Advisory firm - (11/30/2023 Approved)

California

Registered Investment Advisory firm - (1/4/2024 Terminated)

Florida

Registered Investment Advisory firm - (12/5/2023 Terminated)

Indiana

Registered Investment Advisory firm - (12/6/2023 Terminated)

Iowa

Registered Investment Advisory firm - (12/5/2023 Terminated)

Kansas

Registered Investment Advisory firm - (12/5/2023 Terminated)

Massachusetts

Registered Investment Advisory firm - (12/5/2023 Terminated)

Michigan

Registered Investment Advisory firm - (12/11/2023 Terminated)

Missouri

Registered Investment Advisory firm - (12/5/2023 Terminated)

New York

Registered Investment Advisory firm - (12/5/2023 Terminated)

North Carolina

Registered Investment Advisory firm - (12/5/2023 Terminated)

Ohio

Registered Investment Advisory firm - (12/5/2023 Terminated)

Pennsylvania

Registered Investment Advisory firm - (12/5/2023 Terminated)

Rhode Island

Registered Investment Advisory firm - (12/7/2023 Terminated)

South Carolina

Registered Investment Advisory firm - (12/5/2023 Terminated)

Texas

Registered Investment Advisory firm - (12/5/2023 Terminated)

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Contact information

Main Address

11676 Perry Highway Suite 1207, Wexford, PA 15090

Mailing Address

Phone number

(724) 934-8128

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (21 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A & 2B SEC (4/1/2025)

Regulatory assets under management

Total Number of Accounts	937
AUM (Assets Under Management)	$ 66,000,000

Red Flags

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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Advisor Monitoring

Firm Stability Insights

Aaron M. Gagnier

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Aaron Matthew Gagnier's CRS (Customer Relationship Summary).

Certified licenses

Experience

QUESTAR ASSET MANAGEMENT, INC.

CAPITAL ANALYSTS

LINCOLN INVESTMENT

LINCOLN INVESTMENT

VALIC FINANCIAL ADVISORS, INC.

VALIC FINANCIAL ADVISORS, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

GRAYSON FINANCIAL LLC

Primary Firm SEC Registration

SUCCESS WEALTH MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/28/2016

Series 65

Date: 3/3/2003

Series 63

Date: 7/26/2001

SIE

Date: 11/6/2017

Series 7

Date: 5/26/2016

Current Firm

SUCCESS WEALTH MANAGEMENT LLC

Contact information

SEC notice filing (21 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SUCCESS WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

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