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Investment Adviser Firm Summary

GAGNON SECURITIES, LLC (CRD# 103727 / SEC# 8-52218, 801-64836)
Alternate Names: GAGNON SECURITIES, LLC

The adviser's REGISTRATION status is listed below.


This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 10/21/2005

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 10/21/2005
Arizona 10/21/2005
California 10/21/2005
Colorado 10/21/2005
Connecticut 10/21/2005
District of Columbia 10/21/2005
Florida 10/24/2005
Georgia 10/21/2005
Idaho 10/21/2005
Illinois 10/28/2005
Indiana 03/28/2017
Kansas 10/21/2005
Kentucky 10/21/2005
Louisiana 10/21/2005
Maine 03/28/2017
Maryland 10/21/2005
Massachusetts 10/25/2005
Michigan 10/21/2005
Minnesota 10/25/2005
Mississippi 10/21/2005
Missouri 10/21/2005
Montana 10/21/2005
Nevada 10/21/2005
New Hampshire 10/21/2005
New Jersey 10/21/2005
New Mexico 10/21/2005
New York 10/21/2005
North Carolina 10/21/2005
Ohio 10/21/2005
Oklahoma 03/28/2017
Oregon 10/21/2005
Pennsylvania 10/21/2005
Rhode Island 10/21/2005
South Carolina 10/21/2005
Tennessee 10/21/2005
Texas 10/21/2005
Utah 03/28/2017
Vermont 03/28/2017
Virgin Islands 03/28/2017
Virginia 10/21/2005
Washington 10/21/2005
Wisconsin 10/21/2005
Wyoming 03/30/2018

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser