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Current Employers
Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-04-12
  • NY RA
    APPROVED
    Since 2021-04-12

Branch Locations

212 Fair Street, Kingston, NY 12401 • 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
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
  • 08/2015 → Present
    Cetera Financial Specialists Llc
    Schaumburg, IL
  • 02/2016 → Present
    Schaumburg, IL
  • 09/2015 → 11/2021
    Daniel D Gagnon, Cpa
    Kingston, NY
  • 04/2018 → Present
    Hudson Valley Financial Advisors
    Kingston, NY
  • 11/2021 → Present
    Gagnon & Associates
    Kingston, NY
Other Businesses

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

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2016-02-18
  • S63 Uniform Securities Agent State Law Examination
    2016-02-18

View on SEC IAPD

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