Christopher Gagne
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.
Christopher Gagne was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 2004. Christopher had worked at 6 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
January 12, 2012 - June 4, 2012
CAPITAL ONE FINANCIAL ADVISORS LLC
January 12, 2012 - June 4, 2012
CAPITAL ONE INVESTMENT SERVICES LLC
May 28, 2008 - January 26, 2010
WELLS FARGO INVESTMENTS, LLC
May 28, 2008 - January 26, 2010
WELLS FARGO INVESTMENTS, LLC
October 19, 2007 - May 20, 2008
CAPITAL ONE INVESTMENTS, LLC
March 8, 2007 - May 20, 2008
CAPITAL ONE INVESTMENTS, LLC
February 24, 2004 - May 5, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
February 24, 2004 - May 5, 2006
IDS LIFE INSURANCE COMPANY
February 24, 2004 - May 5, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CAPITAL ONE FINANCIAL ADVISORS LLC
CRD#: 127236 / SEC#:
Contact information
Red Flags
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