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MG

Michael F. Gagnon

Some features on this profile are disabled
CRD#: 822686
MG

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.

Michael Francis Gagnon was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1976. Michael had worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 8 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 4, 2011 - October 19, 2015

BMO CAPITAL MARKETS GKST INC.

BD
CRD#: 8352
MINNEAPOLIS, MN
Past

August 28, 2008 - April 6, 2010

MESIROW FINANCIAL, INC.

BD
CRD#: 2764
CHICAGO, IL
Past

February 13, 2006 - August 8, 2008

KEYBANC CAPITAL MARKETS INC.

BD
CRD#: 566
CHICAGO, IL
Past

February 6, 2006 - February 7, 2006

KEYBANC CAPITAL MARKETS INC.

BD
CRD#: 566
CHICAGO, IL
Past

September 27, 2004 - February 8, 2006

MELVIN SECURITIES, L.L.C.

BD
CRD#: 29767
CHICAGO, IL
Past

September 28, 1993 - November 28, 2001

NATIONAL FINANCIAL SERVICES LLC

BD
CRD#: 13041
BOSTON, MA
Past

February 26, 1991 - August 31, 1993

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

September 16, 1985 - June 4, 1990

BLUNT ELLIS & LOEWI INCORPORATED

BD
CRD#: 7580
Past

April 24, 1984 - August 30, 1985

WILLIAM BLAIR

BD
CRD#: 1252
Past

August 3, 1981 - December 28, 1984

BECKER PARIBAS INCORPORATED

BD
CRD#: 7635
Past

May 20, 1976 - July 7, 1981

NUVEEN SECURITIES, LLC

BD
CRD#: 469

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 5/19/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/19/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/15/1976
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 8
Date: 12/29/1993
General Securities Sales Supervisor Examination (Options Module & General Module)
Principal/Supervisory Exam
RR
Series 53
Date: 8/24/1989
Municipal Securities Principal Examination

Current Firm

BC
BMO CAPITAL MARKETS GKST INC.
BMO CAPITAL MARKETS GKST INC. | GRIFFIN, KUBIK, STEPHENS & THOMPSON, INC.

CRD#: 8352 / SEC#: , 8-25091

BD
Terminated by SEC on 01/03/2016
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 07/16/1980
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
PIPER JAFFRAY & CO.100% SHAREHOLDER665
CARTER, TIMOTHY LEEDIRECTOR AND TREASURER2676342
MCCAGUE, ANNCHARLOTTEDIRECTOR AND CHIEF COMPLIANCE OFFICER

Disclosures

Regulatory Event5

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

BMO CAPITAL MARKETS GKST INC.

CRD#: 8352

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