Eric B. 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.
Eric B Gagnon, who also goes by Eric Brian Gagnon, was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 2002. Eric had worked at 6 firms and has passed the Series 66, Series 63, Series 7, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 24, 2011 - May 16, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 24, 2011 - May 16, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 16, 2009 - September 30, 2011
STRATEGIC ADVISERS LLC
December 21, 2007 - September 29, 2011
FIDELITY BROKERAGE SERVICES LLC
October 4, 2006 - December 6, 2007
CHARLES SCHWAB & CO., INC.
October 4, 2006 - December 6, 2007
CHARLES SCHWAB & CO., INC.
June 20, 2006 - September 19, 2006
ATLAS SECURITIES, LLC
April 29, 2005 - June 27, 2006
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
April 29, 2005 - June 27, 2006
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
March 26, 2004 - April 14, 2005
STRATEGIC ADVISERS LLC
October 6, 2002 - April 14, 2005
FIDELITY BROKERAGE SERVICES LLC
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
