Richard Gagne, financial advisor Hartford CT
83 score

Richard Gagne

CRD Number: 1941563
Current Firm: Global Portfolio Strategies, Inc.

Richard Gagne (CRD# 1941563) is an Investment Advisor Representative working at Global Portfolio Strategies, Inc. in Hartford, CT and has over 27 years of experience in the finance industry.

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Company Name Location Dates Years
Prudential Hartford, CT Feb 2007 - Current 9
Prudential Investment Management Services LLC Hartford, CT Feb 2007 - Current 9
Global Portfolio Strategies, Inc. Hartford, CT Feb 2007 - Current 9
Banc Of America Investment Services, Inc. Springfield, MA Oct 2004 - Feb 2007 2
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Apr 1989
S65 NASAA Investment Advisors Law Examination Oct 2000
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Richard M. Gagne
Phone Number: 860-534-7790
Registered State(s):
  • CT
  • TX
By the Numbers
  • Total Assets Under Management
    3,090
    MILLIONS
  • Total Number of Accounts
    385
    ACCOUNTS
  • Average Account Value
    $8,026,875
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Selection of other advisers (including private fund managers)
  • Publication of periodicals or newsletters
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
83

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