Neil Joseph Gagnon

Current Employers

Employment History

• 10/1999 → Present
  Gagnon Securities Llc
  New York, NY

Other Businesses

Entity: Gagnon Administrative Services Investment Related :YesAddress: 1370 Avenue of the Americas 26th Floor NY NY 10019Nature of Business: Collect fees from the affiliated companies of Gagnon SecuritiesPosition Title Relationship: Managing Member Start Date: 2001Number of Hours Monthly: 0Number of Hours Monthly during Trading Hours: 0Duties: Partners of Gagnon Securities are equal Partners of Gagnon Administrative Services and Gagnon Securities Partners Fund. Entity: Gagnon Securities Partners Fund /Gagnon Securities Private Partners Fund Investment Related: YesAddress: 1370 Avenue of the Americas 26th Floor NY NY 10019Nature of Business: Invest and Reinvest the capital of the Gagnon SecuritiesPosition Title Relationship: Managing Member Start Date: 2014Number of Hours Monthly: As Needed Less than 5 HoursNumber of Hours Monthly during Trading Hours: As Needed Less than 5 HoursDuties: Manage and Invest the assets of Gagnon Securities Partners Fund Entity: Gagnon Advisors LLC Investment Related: YesAddress: 1370 Avenue of the Americas 26th Floor NY NY 10019Nature of Business: Registered Investment Advisor and Investment Manager to GIS Fund of Funds and Gagnon Investment Associates (Pooled Investment Vehicle)Position Title Relationship: PrincipalStart Date: 2005Number of Hours Monthly: 160Number of Hours Monthly during Trading Hours: 160Invest and Manage clients of Gagnon Advisors (GIS Fund of Funds and Gagnon Investment Associates Onshore/ Offshore Fund Entity: GagnonLee Associates/Gagnon Lee Management Investment Related: YesAddress:1370 Avenue of the Americas 26th Floor NY NY 10019Nature of Business: GagnonLee Associates - General Partner to Darwin Partnership (Pooled Investment Vehicle) Position Title Relationship: Managing Member Start Date: 2005Number of Hours Monthly: 160Number of Hours Monthly during Trading Hours: 160Invest and Manage Darwin Partnership Entity: Hilltop Aviation Investment Related: NoAddress:1370 Avenue of the Americas 26th Floor NY NY 10019Nature of Business: Holds Neil Gagnon's PlanePosition Title Relationship: PartnerStart Date: 1997Number of Hours Monthly: 0Number of Hours Monthly during Trading Hours:0This Entity holds the Plane. Entity: Gagnon Family Foundation Investment Related: NoAddress: P O BOX 691 BERNARDSVILLE NJ 07924Nature of Business: Foundation Position Title Relationship: TrusteeStart Date: 1994 Number of Hours Monthly: 5Number of Hours Monthly during Trading Hours:0To make charitable contributions to various organizations. Entity: Penguin Ice Cream ShopInvestment Related: NoAddress: 3 Claremont Rd. Bernardsville, NJ 07924Nature of Business: Ice Cream ShopPosition Title Relationship: OwnerStart Date: July 2020Number of Hours Monthly: 3Number of Hours Monthly during Trading Hours:0Owner however no day to day duties. Entity: Cathay Advisory Board Investment Related: YesAddress: 470 West Avenue, Stamford CT 06902Nature of Business: Private Fund Position Title Relationship: Advisory Board member Start Date: February 2025Number of Hours Monthly: 1Number of Hours Monthly during Trading Hours:0Member of an Advisory Board which represents investors in the various Cathay funds.

Exams

• S65 Uniform Investment Adviser Law Examination
  2021-11-29
• S63 Uniform Securities Agent State Law Examination
  1993-11-04