JC
James Colby
GAGNON SECURITIES
New York, NY 10019
Some features on this profile are disabled
CRD#: 6321555
JC
Professional summary
James Colby, who also goes by James Winsor Colby, is a registered financial advisor currently at GAGNON SECURITIES, LLC located in New York, New York.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. James has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 87, Series 86 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James Winsor Colby
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.
Entity: Gagnon Adminstrative Services Investment Related :YesAddress: 1370 Avenue of the Americas 26th Floor NY NY 10019Nature of Business: Collect fees from the affiliated companies of Gangon SecuritiesPosition Title Relationship: PartnerNumber of Hours Monthly: 0Number of Hours Monthly during Trading Hours: 0Duties: Partners of Gagnon Securities are equal Partners of Gagnon Administrative Services and Gagnon Securities Partners Fund Entity: Gagnon Securities Partners Fund /Gagnon Securities Private Partners Fund Investment Related: YesAddress: 1370 Avenue of the Americas 26th Floor NY NY 10019Nature of Business: Invest and Reinvest the capital of the Gagnon SecuritiesPosition Title Relationship: PartnerNumber of Hours Monthly: As Needed Less than 5 HoursNumber of Hours Monthly during Trading Hours: As Needed Less than 5 HoursDuties: Partners of Gagnon Securities are equal Partners of Gagnon Administrative Services and Gagnon Securities Partners Fund
CRS (Client Relationship Summary) - RIA
Click below to view James Colby's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Colby's 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®
NoneExperience
Current
November 23, 2021 - Present
GAGNON SECURITIES, LLC
Office #1: 1370 6th Avenue 26th Floor, New York, NY 10019RIA
BD
CRD#: 103727
New York, NY
Current
March 24, 2020 - Present
GAGNON SECURITIES, LLC
Office #1: 1370 Avenue Of The Americas 26th Floor, New York, NY 10019RIA
BD
CRD#: 103727
New York, NY
Past
February 26, 2018 - March 12, 2020
BTIG, LLC
BD
CRD#: 122225
New York, NY
Past
September 8, 2014 - February 16, 2018
LADENBURG THALMANN & CO. INC.
BD
CRD#: 505
NEW YORK, NY
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".
GS
GAGNON SECURITIES, LLC
GAGNON SECURITIES, LLC
CRD#: 103727 / SEC#: 801-64836, 8-52218
RIA
Registered Investment Advisory firm - SEC (10/21/2005 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Connecticut(10/26/2023)
RR
District of Columbia(1/3/2023)
RR
Florida(4/6/2021)
RR
Maryland(1/3/2023)
RR
Massachusetts(1/3/2023)
RR
Michigan(1/20/2022)
RR
New Jersey(4/6/2021)
RR
New York(3/24/2020)
IAR
New York(11/23/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
GS
GAGNON SECURITIES, LLC
GAGNON SECURITIES, LLC
CRD#: 103727 / SEC#: 801-64836, 8-52218
RIA
Registered Investment Advisory firm - SEC (10/21/2005 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
1370 Avenue Of The Americas 26th Floor, New York, NY 10019
Mailing Address
1370 Avenue Of The Americas 26th Floor, New York, NY 10019
Phone number
(212) 554-5000
Established
Delaware since 10/21/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
20
SEC notice filing (46 States and Territories)
FINRA licenses (47 States and Territories)
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 |
| D'ALESSANDRO, MARIANNE | CHIEF FINANCIAL OFFICER | 5019195 |
| D'ALESSANDRO, MARIANNE | MEMBER | 5019195 |
| FERRANTE, LISA CATHERINE | MEMBER | 3135415 |
| FERRANTE, LISA CATHERINE | CROP/ROP | 3135415 |
| FERRANTE, LISA CATHERINE | CHIEF ADMINISTRATIVE OFFICER | 3135415 |
| FERRANTE, LISA CATHERINE | CHIEF COMPLIANCE OFFICER | 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 |
| TRANCHIDA, ALISON ANNE | OPERATIONS MANAGER | 4345426 |
| TRANCHIDA, ALISON O'BRIEN | MEMBER | 4345426 |
Regulatory assets under management
| Total Number of Accounts | 1,203 |
| AUM (Assets Under Management) | $ 545,317,238 |
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.
