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Thomas James Rigatti

CRD# 2252706·Registered 1992 - 2017
Previously Registered: Being a previously registered professional could mean that Thomas 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.

Professional Summary

Thomas James Rigatti, who also goes by Thomas J Rigatti, was a registered financial advisor. Thomas was a previously registered financial professional and started their career in finance 1992 - 2017. Thomas had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Thomas J Rigatti

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

34 years in the financial services industry

Current & Past Employments

BIC DISTRIBUTORS, LLC·CRD# 152860
BD
Phoenix, AZ
April 8, 2016 - June 29, 2017
PALMETTO ADVISORY GROUP, LLC·CRD# 150270
BD
Charleston, SC
December 16, 2014 - February 13, 2015
GAMA GLOBAL INVESTMENTS, LLC·CRD# 147282
BD
San Francisco, CA
May 16, 2012 - January 3, 2013
ADVISORS ASSET MANAGEMENT, INC.·CRD# 46727
RIA
San Francisco, CA
November 14, 2011 - April 24, 2012
ADVISORS ASSET MANAGEMENT, INC.·CRD# 46727
BD
Monument, CO
August 31, 2011 - April 24, 2012
NEXBANK SECURITIES INC·CRD# 133267
BD
Dallas, TX
November 9, 2010 - August 19, 2011
FS INVESTMENT SOLUTIONS, LLC·CRD# 145244
BD
Orlando, FL
October 20, 2008 - June 30, 2010
NEXBANK SECURITIES INC·CRD# 133267
BD
Dallas, TX
August 1, 2006 - October 14, 2008
BLACKROCK DISTRIBUTORS, INC·CRD# 39636
BD
King Of Prussia, PA
March 18, 2005 - March 18, 2005
FORESIDE FUNDS DISTRIBUTORS LLC·CRD# 31334
BD
Portland, ME
March 18, 2005 - August 2, 2006
NEW YORK LIFE INVESTMENT MANAGEMENT LLC·CRD# 109591
RIA
Parsippany, NJ
October 25, 2002 - November 18, 2004
NYLIFE DISTRIBUTORS LLC·CRD# 35350
BD
Jersey City, NJ
June 19, 2002 - November 18, 2004
RBC CAPITAL MARKETS, LLC·CRD# 31194
BD
New York, NY
March 9, 2002 - May 14, 2002
SUTRO & CO. INCORPORATED·CRD# 801
BD
San Francisco, CA
June 2, 1995 - March 9, 2002
WELLS FARGO SECURITIES INC.·CRD# 17438
BD
San Francisco, CA
April 13, 1994 - February 2, 1995
STEPHENS·CRD# 3496
BD
Little Rock, AR
December 4, 1992 - April 4, 1994

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Current Firm

BD
BIC DISTRIBUTORS, LLC

BIC DISTRIBUTORS, LLC

CRD#: 152860 / SEC#: 8-68484
BD
Terminated by SEC on 08/28/2017

Contact Information

Established

Arizona since 10/26/2009

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
BIC GROUP, LLCSOLE MEMBER—
KOWALSKI, DEIRDRE PATTENCFO/FINOP/CCO1357509
KRIES, JAMES ANTHONYMANAGER1970551

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Nov 2011About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Apr 1994About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Jun 2017About the SIE exam

Series 7 — General Securities Representative Examination

Passed Nov 1992About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Feb 2001About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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