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Member · Gagnon Securities, LLC

Lisa Catherine Ferrante

CRD 3135415 · Named on Form ADV at 2 SEC-registered advisers

At a glance

Gagnon Securities, LLC, an SEC-registered broker-dealer firm based in New York, NY with $530 million in regulatory assets, lists Lisa Catherine Ferrante on its Form ADV as Member, a control person. The SEC filings also name Lisa at 1 other registered adviser.

Firms and roles

  • Gagnon Securities, LLCMemberBroker-dealer firm · New York, NY · $530M in regulatory assets
  • Gagnon AdvisorsChief Compliance OfficerPrivate fund adviser · New York, NY · $187M in regulatory assets

AtlasMembers

Lisa’s stakes and control

What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.

Ownership stake at each firm
2 firmsLocked
Control-person status
2 firmsLocked
When each role began
Locked
Each firm’s assets and growth
Locked
Search and export owners by title, state and firm size
Locked
Open Atlas free

Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

SEC adviser record

Registered since
2021 (5 years)
Designations
None on file
Exams
Series 63
Registered in
1 state
Also a broker representative
Yes
Disclosures on record
None

AtlasMembers

Lisa’s office, career and moves

Their branch office with the firm’s business phone and website, every registration on their SEC record with dates, their employment history and outside business. Atlas members see all of it.

Branch office address, business phone and website
Locked
Previous firms, with start and end dates
Locked
Employment history
Locked
States they’re registered in
Locked
Outside business activities
Locked
When they joined their current firm, and their firm’s growth
Locked
Open Atlas free

Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Colleagues named on the same filings (17)

12 more people named with Lisa on the same filings, with titles and firms. Free in Atlas with a free account.

See all 17 free

Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Lisa’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.