GAGNON SECURITIES, LLC of NEW YORK, NY is an SEC-registered investment adviser (CRD 103727). Regulatory assets under management: $529.7M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Commissions.
Clients served: High net worth.
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 | — |
| 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 |