Thomas J. Rigatti
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.
Thomas James Rigatti, who also goes by Thomas J Rigatti, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1992. Thomas had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 8, 2016 - June 29, 2017
BIC DISTRIBUTORS, LLC
December 16, 2014 - February 13, 2015
PALMETTO ADVISORY GROUP, LLC
May 16, 2012 - January 3, 2013
GAMA GLOBAL INVESTMENTS, LLC
November 14, 2011 - April 24, 2012
ADVISORS ASSET MANAGEMENT, INC.
August 31, 2011 - April 24, 2012
ADVISORS ASSET MANAGEMENT, INC.
November 9, 2010 - August 19, 2011
NEXBANK SECURITIES INC
October 20, 2008 - June 30, 2010
FS INVESTMENT SOLUTIONS, LLC
August 1, 2006 - October 14, 2008
NEXBANK SECURITIES INC
March 18, 2005 - March 18, 2005
BLACKROCK DISTRIBUTORS, INC
March 18, 2005 - August 2, 2006
FORESIDE FUNDS DISTRIBUTORS LLC
October 25, 2002 - November 18, 2004
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
June 19, 2002 - November 18, 2004
NYLIFE DISTRIBUTORS LLC
March 9, 2002 - May 14, 2002
RBC CAPITAL MARKETS, LLC
June 2, 1995 - March 9, 2002
SUTRO & CO. INCORPORATED
April 13, 1994 - February 2, 1995
WELLS FARGO SECURITIES INC.
December 4, 1992 - April 4, 1994
STEPHENS
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
BIC DISTRIBUTORS, LLC
CRD#: 152860 / SEC#: , 8-68484
Contact information
Documents
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.
