Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Gagne has been an active investment professional since 1982. He has a diverse background in the financial industry, holding Series 6, 7, 22, 24, 31, 63, and 65 licenses. He is also a Chartered Financial Consultant and holds a principal's license. Richard currently works with Commonwealth Financial Network, a firm with over 19,600 clients and $177 billion in assets under management. Richard provides financial planning, portfolio management, and pension consulting services for individuals, corporations, and charitable organizations. He also offers educational seminars. Richard is a well-respected member of the financial community with over 40 years of experience. He has worked with several firms throughout his career including Raymond James Financial Services, Inc., VSR Financial Services, Inc., and H. Beck, Inc. Richard specializes in helping clients reach their financial goals through a variety of financial products and services.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
TX
01/08/2024 - Present
Commonwealth Financial Network (Beaumont TX)
TX
04/27/2017 - 01/12/2024
RAYMOND JAMES FINANCIAL SERVICES, INC. (Beaumont TX)
TX
08/16/2016 - 04/28/2017
BROKER DEALER FINANCIAL SERVICES CORP. (BEAUMONT TX)
TX
10/27/2004 - 08/15/2016
VSR FINANCIAL SERVICES, INC. (BEAUMONT TX)
MD
11/10/1992 - 10/27/2004
H. BECK, INC. (ROCKVILLE MD)
TX
03/07/1990 - 11/13/1992
RETIREMENT INVESTMENT GROUP (HOUSTON TX)
MD
10/30/1987 - 03/22/1990
H. BECK, INC. (ROCKVILLE MD)
NA
09/28/1983 - 11/09/1987
LOWRY FINANCIAL SERVICES CORPORATION
NA
04/05/1983 - 10/04/1983
MONY SECURITIES CORP.
NA
07/15/1982 - 05/31/1983
SOUTHWESTERN MANAGEMENT & RESEARCH CORPORATION
IA
Issued 07/28/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/23/1982
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/30/1986
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/03/2001
Series 31 - Futures Managed Funds Examination
BC
Issued 11/16/1985
Series 7 - General Securities Representative Examination
BC
Issued 11/15/1983
Series 22 - Direct Participation Programs Representative Examination
BC
Issued 07/14/1982
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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