# GAGNON SECURITIES, LLC

GAGNON SECURITIES, LLC of NEW YORK, NY is an SEC-registered investment adviser. This firm reports disciplinary history on Form ADV.

## Registration

- CRD: 103727
- Type: SEC-registered investment adviser
- SEC file number: 801-64836
- Location: 1370 6TH AVENUE, 26TH FLOOR, NEW YORK, NY, 10019
- Phone: 212-554-5000
- Latest filing: 2026-05-04
- Regulatory AUM: $529.7M
- Discretionary AUM: $529.7M
- Clients: 19
- Accounts: 1,202

## Business model

- Compensation: % of AUM, Commissions
- Clients served: High net worth

## Officers, owners & control persons (45)

_Showing 25 of 45 people._

| Name | Role | Location |
| --- | --- | --- |
| Marianne D'Alessandro | CHIEF FINANCIAL OFFICER; MEMBER | — |
| Neil Joseph Gagnon | MANAGER/CEO | — |
| Brian Joseph Gagnon | MEMBER | — |
| Maureen Oneill Drew | MEMBER | — |
| Matthew Howard Jampole | MEMBER | — |
| Henry Carl Beinstein | MEMBER | — |
| Jonathan Williams Robohm | MEMBER | — |
| Dwight Eisenhower Lee | MEMBER | — |
| Lisa Catherine Ferrante | CHIEF ADMINISTRATIVE OFFICER; CHIEF COMPLIANCE OFFICER; CROP/ROP (+1 more) | — |
| Alison O'Brien Tranchida | MEMBER | — |
| Willis Gitt Taylor | MEMBER | — |
| Adrienne Michelle Garofalo | MEMBER | — |
| Alison Anne Tranchida | OPERATIONS MANAGER | — |
| Sarah G Jilla | MEMBER | — |
| Cynthia Andrea Roberts | MEMBER | — |
| James Matthew Cappello | MEMBER | — |
| GRANT SUSAN ELIZABETH | CHIEF COMPLIANCE OFFICER; FINANCIAL OPERATIONS PRINCIPAL; OPERATIONS MANAGER | — |
| LEE DWIGHT EISENHOWER | MEMBER | — |
| GAGNON NEIL JOSEPH | MANAGER/CEO; MEMBER | — |
| MURRAY SUE ANN | CLIENT SERVICES | — |
| DREW MAUREEN ONEILL | MEMBER | — |
| HOLDEN KENT DONALD | MEMBER | — |
| PAN KELLY MICHELE | MEMBER | — |
| JAMPOLE MATTHEW HOWARD | MEMBER | — |
| BEINSTEIN HENRY CARL | MEMBER | — |


## Disclosures (6)

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| 2013-07-25 | regulatory | ON SEPTEMBER 10, 2014 NEIL GAGNON CONSENTED TO THE ENTRY OF AN ORDER INSTITUTING ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS ("ORDER") BY THE U.S. SECURITIES AND EXCHANGE COMMISSION (THE "SEC"). IN THE ORDER, THE SEC FOUND THAT MR. GAGNON FAILED TO TIMELY FILE BENEFICIAL OWNERSHIP REPORTS REQUIR… | Final | $75K |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/103727/brochure
- Similar advisers: https://search.stillhousedata.com/firm/103727/similar
- Related entities: https://search.stillhousedata.com/firm/103727/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/103727

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.