Best Investors Account Sign in

Philip Tim Garigan

Rbc Capital Markets, LLC

Tucson, AZ

Tucson, AZ

Claim This Profile
Current Employers
Rbc Capital Markets, Llc

200 Vesey St., New York, NY 10281 • United States

Current Registrations

AuthorityCategoryStatusDate
AZ RA APPROVED 2018-11-26
TX RA APPROVED 2018-09-05
  • AZ RA
    APPROVED
    Since 2018-11-26
  • TX RA
    APPROVED
    Since 2018-09-05

Branch Locations

3430 East Sunrise Drive Suite 250, Tucson, AZ 85718-3237 • United States

Tucson, AZ • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Tucson AZ 05/2009 11/2016
Wells Fargo Clearing Services, Llc Tucson AZ 11/2016 04/2018
Rbc Capital Markets, Llc. Tucson AZ 04/2018 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2018-11-20
S63 Uniform Securities Agent State Law Examination 1990-04-27
  • S65 Uniform Investment Adviser Law Examination
    2018-11-20
  • S63 Uniform Securities Agent State Law Examination
    1990-04-27
Other Names
  • Phillip Thomas Garigan
  • Philip Thomas Garigan
  • Tim Philip Garigan
  • Tim P Garigan
  • Tim P Garigan

View on SEC IAPD

Other Firms

IRONWOOD FINANCIAL, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
WELLS FARGO CLEARING SERVICES, LLC
ALLSTATE FINANCIAL ADVISORS, LLC
AIO FINANCIAL, LLC
EDWARD JONES
FINANCIAL DIRECTIONS LLC
COMMONWEALTH FINANCIAL NETWORK

Other Investors

MARTIN ANTHONY SMITH
ALEXANDER DEVEREAUX PARRS
ROBIN RODGERS DOLEZAL
DARREN GRANT HESSELINK
DANIEL SHAY NENTL
DAVID A. NIICHEL
EMILY MARIE Delgado
DAVID CUNNINGHAM RENZI

Other Offices

IRONWOOD FINANCIAL, LLC · TUCSON, AZ
IRONWOOD FINANCIAL, LLC · TUCSON, AZ
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · TUCSON, AZ
WELLS FARGO CLEARING SERVICES, LLC · TUCSON, AZ
ALLSTATE FINANCIAL ADVISORS, LLC · Tucson, AZ
AIO FINANCIAL, LLC · TUCSON, AZ
EDWARD JONES · TUCSON, AZ
FINANCIAL DIRECTIONS LLC · TUCSON, AZ

More in Tucson, AZ

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor