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Paula Gagne Resigns from Raymond James Financial Services

Jun 21, 2022 Employment

Paula Gagne (CRD #: 1218067), a formerly registered broker, resigned from her previous firm, according to her BrokerCheck record, accessed on June 16, 2022. If you have questions about Paula Gagne’s conduct as a broker, keep reading.

Resignation from Raymond James Financial Services

On April 22, 2022, Paula Gagne was permitted to resign from Raymond James Financial Services after allegedly failing to properly disclose a financial relationship with a client.

Background Information

Paula Gagne has passed the following exams:

  • Series 65 – Uniform Investment Adviser Law Examination
  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 31 – Futures Managed Funds Examination
  • Series 3 – National Commodity Futures Examination
  • Series 7 – General Securities Representative Examination
  • Series 6 – Investment Company Products/Variable Contracts Representative Examination

In the past, she worked for the following firms:

  • Raymond James Financial Services (CRD#:6694)
  • Raymond James & Associates (CRD#:705)
  • Merrill Lynch, Pierce, Fenner & Smith (CRD#:7691)
  • Marion Bass Securities (CRD#:7961)     
  • First Investors (CRD#:305)

Kurta Law Can Help

If you worked with Paula Gagne and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.