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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-04-12 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cetera Financial Specialists Llc | Schaumburg | IL | 08/2015 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 02/2016 | Present |
| Daniel D Gagnon, Cpa | Kingston | NY | 09/2015 | 11/2021 |
| Hudson Valley Financial Advisors | Kingston | NY | 04/2018 | Present |
| Gagnon & Associates | Kingston | NY | 11/2021 | Present |
1. NAME OF OTHER BUSINESS: GAGNON & ASSOCIATES INVESTMENT RELATED: NO ADDRESS: 212 FAIR STREET, KINGSTON, NY, 12401 NATURE OF BUSINESS: TAX AND ACCOUNTING, START DATE: 11/2021 POSITION/TITLE/RELATIONSHIP: RR APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: TAX, ACCOUNTING AND CONSULTING SERVICES; 2. MILITARY ASSOC. OF NEW TORK, 595 NEW LOUDON RD #174, LATHAM, NY 12110, MILITARY ASSOC, STARTED 2006, ASSISTANT TO THE EXECUTIVE DIRECTOR, APX 2 HOURS PER WEEK, NOT DURING TRADING HOURS, COORDINATING AND SYNCHRONIZATION OF MANY ACTIVITIES WITH NGAUS 3) HUDSON VALLEY FINANCIAL ADVISORS, INVESTMENT RELATED, SAME AS REGISTERED LOCATION, FINANCIAL SERVICES, STARTED 4/2018, PARTNER APX NUMBER OF HOURS PER WEEK: 20, DURING TRADING HOURS BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES, FINANCIAL PLANNING AND INVESTMENTS
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2016-02-18 |
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