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JG

John Gagnon Jr

NATIONAL FINANCIAL SERVICES
Boston, MA 02210
Some features on this profile are disabled
CRD#: 7403287
JG

Professional summary

John Gagnon Jr, who also goes by John Joseph Gagnon Jr., John Joseph Gagnon Jr, John Gagnon, is a registered financial professional currently at NATIONAL FINANCIAL SERVICES LLC located in Boston, Massachusetts.

John is registered as a RR (Registered Representative) and started their career in finance in 2021. John has worked at 2 firms and has passed the Series 63, Series 7TO, SIE and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

John Joseph Gagnon Jr. | John Joseph Gagnon Jr | John Gagnon

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view John Gagnon Jr'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®
None

Experience

Current

March 22, 2023 - Present

NATIONAL FINANCIAL SERVICES LLC

Office #1: 155 Seaport Blvd., Boston, MA 02210
BD
CRD#: 13041
Boston, MA
Past

October 21, 2021 - March 7, 2023

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
MERRIMACK, NH

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Alabama
(3/22/2023)
RR
Alaska
(3/22/2023)
RR
Arizona
(3/22/2023)
RR
Arkansas
(3/22/2023)
RR
California
(3/22/2023)
RR
Colorado
(3/22/2023)
RR
Connecticut
(3/22/2023)
RR
Delaware
(3/22/2023)
RR
District of Columbia
(3/22/2023)
RR
Florida
(3/22/2023)
RR
Georgia
(3/22/2023)
RR
Hawaii
(3/22/2023)
RR
Idaho
(3/22/2023)
RR
Illinois
(3/22/2023)
RR
Indiana
(3/22/2023)
RR
Iowa
(3/22/2023)
RR
Kansas
(3/22/2023)
RR
Kentucky
(3/22/2023)
RR
Louisiana
(3/22/2023)
RR
Maine
(3/22/2023)
RR
Maryland
(3/22/2023)
RR
Massachusetts
(3/22/2023)
RR
Michigan
(3/22/2023)
RR
Minnesota
(3/22/2023)
RR
Mississippi
(3/22/2023)
RR
Missouri
(3/22/2023)
RR
Montana
(3/22/2023)
RR
Nebraska
(3/22/2023)
RR
Nevada
(3/22/2023)
RR
New Hampshire
(3/22/2023)
RR
New Jersey
(3/22/2023)
RR
New Mexico
(3/22/2023)
RR
New York
(3/22/2023)
RR
North Carolina
(3/22/2023)
RR
North Dakota
(3/22/2023)
RR
Ohio
(3/22/2023)
RR
Oklahoma
(3/22/2023)
RR
Oregon
(3/22/2023)
RR
Pennsylvania
(3/22/2023)
RR
Puerto Rico
(3/22/2023)
RR
Rhode Island
(3/22/2023)
RR
South Carolina
(3/22/2023)
RR
South Dakota
(3/22/2023)
RR
Tennessee
(3/22/2023)
RR
Texas
(3/22/2023)
RR
Utah
(3/22/2023)
RR
Vermont
(3/22/2023)
RR
Virgin Islands
(3/22/2023)
RR
Virginia
(3/22/2023)
RR
Washington
(3/22/2023)
RR
West Virginia
(3/22/2023)
RR
Wisconsin
(3/22/2023)
RR
Wyoming
(3/22/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 11/5/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 10/21/2021
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 12/12/2019
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/28/2024
General Securities Principal Examination
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
Nasdaq Texas, LLC
SRO Registrations
RR
New York Stock Exchange

Current Firm

NF
NATIONAL FINANCIAL SERVICES LLC
NATIONAL FINANCIAL SERVICES CORPORATION | NATIONAL FINANCIAL SERVICES, LLC | NATIONAL FINANCIAL SERVICES LLC

CRD#: 13041 / SEC#: 801-50706, 8-26740

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
PREMIUM
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Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
245 Summer Street Mail Zone Z2h, Boston, MA 02210
Mailing Address
Two Destiny Way Mail Zone: Wg3d, Westlake, TX 76262
Phone number
(617) 563-7000
Established
Delaware since 06/08/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
2,100

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
FIDELITY GLOBAL BROKERAGE GROUP, INC.SOLE MEMBER
ADAMS, ROBERT JOHNCHIEF OPERATIONS OFFICER/ELECTED MANAGER1291582
CRUPI, KAREN MICHELECHIEF LEGAL OFFICER2982229
DYER, JANET MARIECHIEF COMPLIANCE OFFICER3186352
RHODES, NOAH BUTLERCHIEF FINANCIAL OFFICER6546392
TESAURO, THOMAS JOHNELECTED MANAGER1862532
TESAURO, THOMAS JOHNPRESIDENT1862532

Disclosures

Regulatory Event47
Civil Event1
Arbitration14

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.

Company Information

NATIONAL FINANCIAL SERVICES LLC

CRD#: 13041Boston, MA 02210

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