James Albert Gagnon

Employer firm

LPl Enterprise, LLC CRD 8733

$24.9B regulatory AUM 12,118 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

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

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

Current Employers

Employment History

• 12/2002 → Present
  Prudential Insurance Company Of America
  San Jose, CA
• 12/2002 → 11/2024
  Pruco Securities, Llc.
  San Jose, CA
• 11/2024 → Present
  Lpl Enterprise, Llc
  San Jose, CA

Previous Registrations

• 2003-01-14 → 2024-11-14
  Pruco Securities, Llc.
  Fresno, CA
  Fresno, CA
  San Jose, CA
  Fresno, CA
  Fresno, CA
  Reedley, CA
• 2002-08-22 → 2002-12-20
  New England Securities
  South San Francisco, CA

Other Businesses

1) 03/03/2025-James A. Gagnon / Health Insurance-Non-Variable Insurance-Inv Related-At San Jose, CA-Start date 11/18/2024-0hrs/mth-0hrs/mth during trading 2) 07/08/2025 - Prudential Sponsored Non-Variable Insurance - Non-Variable Insurance/Insurance Agency - Inv related - At reported business location(s)

Exams

• S66 Uniform Combined State Law Examination
  1999-08-12

Other Names

• James Albert Gagnon
• Jim Albert Gagnon