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Richard Michael Gagne
RICHARD MICHAEL GAGNE, Richard Gagne
CRD#: 1941563
IA
Investment Adviser
B
Broker
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 New Durham, NH
Registration History
199019952000200520102015202020252 FIRMS1990 - 1990 (<1 year)2 FIRMS2004 - 2007 (2 years)2 FIRMS2021 - Present (3 years)BPRUDENTIAL INVESTMENT MANAGEME... (CRD# 18353)2007 - 2019 (12 years)BQUICK & REILLY, INC. (CRD# 11217)1998 - 2004 (6 years)BFLEET BROKERAGE SECURITIES, INC. (CRD# 7313)1992 - 1998 (5 years)BSHAWMUT BROKERAGE, INC. (CRD# 17081)1996 - 1996 (<1 year)BBLINDER, ROBINSON & CO., INC. (CRD# 5096)1989 - 1990 (<1 year)BFIRST INVESTORS CORPORATION (CRD# 305)1989 - 1989 (<1 year)IAGLOBAL PORTFOLIO STRATEGIES, INC. (CRD# 105812)2007 - 2018 (11 years)IAQUICK & REILLY, INC. (CRD# 11217)2002 - 2004 (1 year)
Disclosure(s)
View By:
6/24/1999
Customer Dispute
Settled
License(s)

State Registrations

B
Connecticut 5/3/2021

B
Rhode Island 3/26/2021

B
New Hampshire 3/26/2021

IA
Rhode Island 3/30/2021

IA
New Hampshire 5/11/2021

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
New Durham, NH
Narragansett, RI
Registered with this firm since 3/30/2021

B
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
New Durham, NH
Narragansett, RI
Registered with this firm since 3/26/2021

Previous Registration(s)
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B
02/23/2007 - 08/21/2019 PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC (CRD#:18353) Scranton, PA
IA
02/23/2007 - 12/31/2018 GLOBAL PORTFOLIO STRATEGIES, INC. (CRD#:105812) HARTFORD, CT
IA
10/20/2004 - 02/05/2007 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) SPRINGFIELD, MA
B
10/20/2004 - 02/05/2007 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) SPRINGFIELD, MA
IA
12/04/2002 - 10/20/2004 QUICK & REILLY, INC. (CRD#:11217) SPRINGFIELD, MA
B
02/14/1998 - 10/20/2004 QUICK & REILLY, INC. (CRD#:11217) NEW YORK, NY
B
03/12/1992 - 02/14/1998 FLEET BROKERAGE SECURITIES, INC. (CRD#:7313) NEW YORK, NY
B
01/23/1996 - 02/08/1996 SHAWMUT BROKERAGE, INC. (CRD#:17081)
B
05/18/1990 - 11/26/1990 AMERICAN EXPRESS FINANCIAL ADVISORS INC. (CRD#:6363) MINNEAPOLIS, MN
B
05/18/1990 - 11/26/1990 IDS LIFE INSURANCE COMPANY (CRD#:6321) MINNEAPOLIS, MN
B
08/22/1989 - 03/28/1990 BLINDER, ROBINSON & CO., INC. (CRD#:5096)
B
04/19/1989 - 06/05/1989 FIRST INVESTORS CORPORATION (CRD#:305)
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.