James Cappello is a registered investment advisor at Gagnon Securities, LLC, based in New York, NY, with 9 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,202 clients with $530M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Gagnon Securities charges fees for advisory and brokerage services.
For non-retirement accounts, clients pay a commission on each buy and sell transaction, up to 2% of the trade amount, plus a transaction fee up to $0.04 per share.
For retirement accounts and former Townsend Group Investments clients, Gagnon Securities charges a management fee of 2.25% per year for long-only accounts or 3.00% per year for hedged accounts, calculated monthly. These accounts do not pay commissions or transaction fees.
Location
1370 Avenue of the Americas, New York, NY, 10019
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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James is the founder of Jono Enterprises, LLC, which produces the Shoot n Scoop Lacrosse Trainer. He spends a few hours per week on marketing and operations for this business.
Employment History
Current Registrations
Gagnon Securities, LLC
Gagnon Securities, LLCBroker
Previous Registrations
Sidoti & Company, LLCBroker
State Registrations9 states
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