Richard Albert Gagne

Current Employers

Employment History

• 08/2016 → 04/2017
  Lexaurum Advisors, Llc
  Overland Park, KS
• 04/2017 → 01/2024
  Raymond James Financial Services, Inc.
  Beaumont, TX
• 05/2017 → 01/2024
  Raymond James Financial Services Advisors Inc.
  Beaumont, TX
• 04/1973 → Present
  Richard Gagne & Associates
  Beaumont, TX
• 01/2024 → 08/2026
  Commonwealth Financial Network
  San Diego, CA
• 08/2026 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 08/2026 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2017-05-09 → 2024-01-12
  Raymond James Financial Services Advisors, Inc
  Beaumont, TX
  Beaumont, TX
• 2016-08-15 → 2017-04-27
  Lexaurum Advisors
  Beaumont, TX
  Overland Park, KS
• 2004-10-27 → 2016-08-15
  Vsr Financial Services, Inc.
  Beaumont, TX
  The Woodland, TX
  Beaumont, TX
  Worden, IL
  Overland Park, KS
  Overland Park, KS

Other Businesses

1. NAME OF OTHER BUSINESS: RICHARD GAGNE AND ASSOCIATES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES DBA POSITION/TITLE/RELATIONSHIP: OWNER START DATE: 4/1973 APX NUMBER OF HOURS PER WEEK: 50 APX NUMBER OF HOURS DURING TRADING HOURS: 35 BRIEF DESCRIPTION OF DUTIES: PROVIDE FINANCIAL SERVICES, INSURANCE PRODUCTS AND WEALTH MANAGEMENT SERVICES 2. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 4/1973 APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 1 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS 3. NAME OF OTHER BUSINESS: THE RICHARD ALBERT GAGNE CHARITABLE TRUST INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: CHARITABLE FOUNDATION START DATE: 4/2008 POSITION/TITLE/RELATIONSHIP: FOUNDER APX NUMBER OF HOURS PER WEEK: 2 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: DIRECTING THE FOUNDATION, COMMUNICATING WITH FELLOW BOARD MEMBERS REGARDING SUPPORTING SCHOOLS IN UGANDA. 4. NAME OF OTHER BUSINESS: THE H.O.W. CENTER INVESTMENT RELATED: NO ADDRESS: 2509 CABLE AVENUE, BEAUMONT, TX 77703 NATURE OF BUSINESS: ADDICTION RECOVERY START DATE: 10/2022 POSITION/TITLE/RELATIONSHIP: BOARD MEMBER APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: ADVISES THE CARE AND WELL BEING OF THE RECOVERY RESIDENTS

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-07-28
• S63 Uniform Securities Agent State Law Examination
  1982-09-23

Designations