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Current Employers
Gagnon Securities, Llc

1370 6Th Avenue 26Th Floor, New York, NY 10019 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-07-30
  • NY RA
    APPROVED
    Since 2021-07-30

Branch Locations

1370 Avenue Of The Americas 26Th Floor, New York, NY 10019 • USA

1370 Avenue Of The Americas, New York, NY 10019 • 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
Upland Associates New York NY 01/2000 Present
  • 01/2000 → Present
    Upland Associates
    New York, NY
Other Businesses

(1)Gagnon Administrative Services, Investment Related: Yes, Address: 1370 Avenue of the Americas 26th Floor NY NY 10019, Nature of Business: Collect fees from the affiliated companies of Gagnon Securities, Position/Title: Partner, Start Date: 2005, Number of Hours Monthly: 0, Number of Hours Monthly during Trading Hours: 0, Duties: Partners of Gagnon Securities are equal Partners of Gagnon Administrative Services and Gagnon Securities Partners Fund.(2) Gagnon Securities Partners Fund /Gagnon Securities Private Partners Fund, Investment Related: Yes, Address: 1370 Avenue of the Americas 26th Floor NY NY 10019, Nature of Business: Invest and Reinvest the capital of the Gagnon Securities, Position Title Relationship: Partner, Start Date: 2005, Hours Monthly: As Needed Less than 5 Hours, Hours Monthly during Trading Hours: As Needed <5 Hours, Duties: Partners of Gagnon Securities are equal Partners of Gagnon Administrative Services and Gagnon Securities Partners Fund.(3)Upland Asset Management/ Lee Associates, Investment Related: Yes, Address: 1370 Avenue of the Americas 26th Floor NY NY 10019, Nature of Business: Upland Asset Management - General Partner to Upland Associates (Pooled Investment Vehicle)., Position Title Relationship: Managing Member, Start Date: 2005,Hours Monthly: 160, Hours during Trading Hours: 160, Duties: Invest and Manage Upland Associates. (4) GagnonLee Associates/Gagnon Lee Management, Investment Related: Yes, Address:1370 Avenue of the Americas 26th Floor NY NY 10019, Nature of Business: GagnonLee Associates - General Partner to Darwin Partnership (Pooled Investment Vehicle) , Position Title Relationship: Managing Member , Start Date: 2005,Hours Monthly: 160, Hours Monthly during Trading Hours: 160, Duties: Invest and Manage Darwin Partnership.(5) THE CENTURY ASSOCIATION, Investment Related: Yes, Address: 7 West 43rd Street NY NY, Nature of Business: Non-Profit Social Organization, Position Title Relationship: Chairman of INVESTMENT COMMITTEE, Start Date: 2005,hours Monthly 2, Hours Monthly during Trading Hours:2, Duties: Chairman Investment Committee - meetings quarterly and monitor portfolio monthly.(6) JOHN SIMON GUGGENHEIM MEMORIAL FOUNDATION, Investment Related: No, Address: 90 Park Avenue NY NY 10016, Nature of Business: Non-Profit Foundation Granting fellowships to academics and artists, Position Title Relationship: Chairman of Nominating Committee, Start Date: June 2025,Hours Monthly: 4,Hours Monthly during Trading Hours: 4, Duties: Chairman Nominating committee meets twice a year to propose officers and new board members.(7) THE GRADUATE CENTER FOUNDATION, INC CUNY, Investment Related: No, Address: 365 5th Avenue NY NY 10016, Nature of Business: Non-Profit Foundation that supports students and faculty of the CUNY Graduate Center, Position Title Relationship: TRUSTEE, VICE CHAIR OF THE BOARD AND CHAIRMAN FOR THE COMMITTEE OF TRUSTEES, Start Date: 2022, Hours Monthly: 4,Hours Monthly during Trading Hours: 4, Duties: Meet quarterly with Board and Committee of Trustees to keep informed of the activities of the university.(8)CIVITELLA RANIERI FOUNDATION, Investment Related: No, Address: 28 HUBERT STREET, NY, NY 10013, Nature of Business: Non-Profit Granting residency/fellowships to artists writers and composers at facility in Italy, Position/Title: TREASURER, MEMBER OF THE BOARD OF DIRECTORS AND EXECUTIVE COMMITTEE FOR A NON-PROFIT, Start Date 2023, Hours Monthly: 3,Hours Monthly during Trading Hours: 3, Duties: Meet Quarterly with Board to advise the executive director. (9) GIS FUNDS OF FUNDS, Investment Related: Yes, Address: 1370 Avenue of the Americas 26th Floor NY NY 10019, Nature of Business: Fund of Funds, Position: Co-Manager, 2023, Hours Monthly during Trading:20, Co-Manage GIS Fund of Fund (10) American Friends of the British Museum, June 2026, Nature: Raising donations to the Museum, Address Montclair, NJ, Title Trustee, Hours: 2

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2006-03-29
  • S63 Uniform Securities Agent State Law Examination
    2006-03-29

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