Ian M. Isaacs
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.
Ian Mark Isaacs was a registered financial professional .
Ian is a previously registered financial professional and started their career in finance in 1980. Ian had worked at 5 firms and has passed the Series 63, SIE, Series 87, Series 15 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
October 22, 2012 - April 28, 2015
GAGNON SECURITIES, LLC
April 7, 2008 - August 1, 2012
WELLS FARGO PRIME SERVICES, LLC
July 8, 1997 - April 14, 2008
UBS FINANCIAL SERVICES INC.
May 21, 1990 - April 14, 2008
UBS FINANCIAL SERVICES INC.
August 20, 1985 - May 21, 1990
HAMBRECHT & QUIST LLC
October 29, 1980 - August 12, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
GAGNON SECURITIES, LLC
CRD#: 103727 / SEC#: 801-64836, 8-52218
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
Series 15
Date: 9/27/1984
Foreign Currency Options ExaminationCurrent Firm
GAGNON SECURITIES, LLC
CRD#: 103727 / SEC#: 801-64836, 8-52218
Contact information
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.
