Paula Gagne Resigns from Raymond James Financial Services
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.
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 firstname.lastname@example.org 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.