Richard Michael Gagne

Employer firm

Ameriprise Financial Services, LLC CRD 6363

$660B regulatory AUM 124,349 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 02/2007 → 08/2019
  The Prudential Insurance Company Of America
  Hartford, CT
• 02/2007 → 08/2019
  Prudential Investment Management Services Llc
  Hartford, CT
• 02/2007 → 08/2019
  Global Portfolio Strategies, Inc.
  Hartford, CT
• 03/2021 → Present
  Ameriprise Financial Services, Llc
  Manchester, NH
• 08/2019 → 03/2021
  Unemployed
  Narragansett, RI

Previous Registrations

• 2007-02-23 → 2018-12-31
  Global Portfolio Strategies, Inc.
  Hartford, CT
• 2004-10-20 → 2007-02-05
  Banc Of America Investment Services, Inc.
  Springfield, MA
  Springfield, MA
  Springfield, MA
• 2002-12-04 → 2004-10-20
  Quick & Reilly, Inc.
  Springfield, MA

Other Businesses

Outside Employment; The Halpin Co.; RP Delegate - Fulfill supervisory responsibilities as delegated to me by the Regional AFG RP; Manage advisory business; 111 Riverwalk Way, , Manchester, NH, 03101; Not Investment-Related; 03/16/2021; 10 to 19 hours per month; 10 to 19 during trading hours.

Exams

• S65 Uniform Investment Adviser Law Examination
  2000-10-23
• S63 Uniform Securities Agent State Law Examination
  1989-04-25

Other Names

• Richard Michael Gagne
• Richard Gagne