Linda C. Mcgill
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Linda Caye Mcgill, who also goes by Linda Caye Pilgrim, was a registered financial professional .
Linda is a previously registered financial professional and started their career in finance in 1996. Linda had worked at 5 firms and has passed the Series 66, Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 14, 2009 - March 2, 2012
WADDELL & REED
May 14, 2009 - March 2, 2012
WADDELL & REED
August 12, 2006 - May 13, 2009
UBS FINANCIAL SERVICES INC.
August 12, 2006 - May 13, 2009
UBS FINANCIAL SERVICES INC.
June 3, 2004 - August 12, 2006
PIPER SANDLER & CO.
April 13, 2004 - August 12, 2006
PIPER SANDLER & CO.
August 1, 2001 - November 14, 2003
FISHER INVESTMENTS
November 11, 1999 - June 7, 2001
PIPER SANDLER & CO.
September 23, 1996 - September 12, 1997
WELLS FARGO SECURITIES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
WADDELL & REED
CRD#: 866 / SEC#: 801-16720, 8-27030
Contact information
FINRA licenses (1 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WADDELL & REED FINANCIAL SERVICES, INC. | SHAREHOLDER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHAIRMAN OF THE BOARD | 4003349 |
| DALEY, MICHAEL JOHN | VP AND FINANCIAL AND OPERATIONS PRINCIPAL | 6923129 |
| HANSEN, ELIZABETH ANN | SVP AND CHIEF COMPLIANCE OFFICER | 2199658 |
| HORAN-ADAMS, KIRBY LEPAK | EXECUTIVE VICE PRESIDENT | 5097259 |
| KRAMPER, MATTHEW SCOTT | VP AND PRINCIPAL OPERATIONS OFFICER | 2750651 |
| MIHAL, SHAWN MICHAEL | EXECUTIVE VICE PRESIDENT | 3262384 |
| MITCHELL, CHRISTOPHER MILLS | ASSISTANT TREASURER | 2420144 |
| OROSCHAKOFF, MICHELLE | VICE-CHAIRMAN OF THE BOARD | 2403199 |
| SIMONICH, BRENT BLAIN | TREASURER | 3254859 |
Disclosures
| Regulatory Event | 29 |
| Civil Event | 1 |
| Arbitration | 11 |
| Bond | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
