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Home > Financial Services > Stock Brokers > Gagnon Securities,L.L.C.
Gagnon Securities,L.L.C.
Gagnon Securities LLC is a member of NASD, the National Association of Securities Dealers. NASD is a self regulatory organization of the securities industry responsible for the operation and regulation of the NASDQ stock market and over the counter markets. It also administrates exams for the investments professionals, such as the series of 7 exams.
The firm is a team of brokers who manage money for their clients on a discretionary basis. Diverse in business experience and perspective, they take a research with intensive, generalist approach to evaluating securities. Their client portfolios reflect the best opportunities they find, assembled stock by stock, and balanced to control risk.
Because they aim for capital appreciation, they don't restrict themselves to sectors or market caps, preferring instead to focus on industries and businesses experiencing significant unrecognized change. As a group, they share a core belief that thoughtful and persistent research coupled with disciplined risk taking will yield outsized returns over time.
They recognize that you rely on their systems and services for the management of the assets that you have entrusted to them. They also recognize that the unexpected can and does occur from simple situations to major outages.They have successfully maintained critical business activities during disruptions of normal business processes and they want you to know that they have an extensive plan in place to safeguard your vital account information in the event of a business disruption of varying scope.
Their clearing firm backs up their important records in a geographically separate location. Some of these records contain custodial and settlement records for their clients.While emergency situations may pose unique problems, depending upon time of day and the severity of the disruption, their clearing firm has advised them that its objective is to restore its own operations, be able to complete pending transactions, and accept new transactions within 12 hours.
The firm has pre established contingency and disaster recovery plans. Components of this plan are reviewed and tested periodically to ensure effectiveness.They consider contingency planning to be an ongoing process that requires regular review and assessment of the various risks and appropriate responses.As a result, their plan may change from time to time as necessary.
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