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James Albert Gagnon

LPl Enterprise, LLC

San Jose, CA

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Current Employers
Lpl Enterprise, Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2024-11-14
  • CA RA
    APPROVED
    Since 2024-11-14

Branch Locations

1731 Technology Dr Suite 600, San Jose, CA 95110 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Prudential Insurance Company Of America San Jose CA 12/2002 Present
Pruco Securities, Llc. San Jose CA 12/2002 11/2024
Lpl Enterprise, Llc San Jose CA 11/2024 Present
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
CodeExamDate
S66 Uniform Combined State Law Examination 1999-08-12
  • S66 Uniform Combined State Law Examination
    1999-08-12
Other Names
  • James Albert Gagnon
  • Jim Albert Gagnon

View on SEC IAPD

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Other Offices

J.P. MORGAN SECURITIES LLC · SAN JOSE, CA
PFG ADVISORS · San Jose, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SAN JOSE, CA
WELLS FARGO CLEARING SERVICES, LLC · SAN JOSE, CA
J.P. MORGAN SECURITIES LLC · SAN JOSE, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SAN JOSE, CA
EQUITABLE ADVISORS, LLC · CAMPBELL, CA
ROLO VENTURES MANAGEMENT LLC · SAN JOSE, CA

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