Joseph C. Gilligan

ARQ WEALTH ADVISORS

Scottsdale, AZ 85260

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CRD#: 2617604

Professional summary

Joseph Christopher Gilligan JR, who also goes by Joseph Jr Gilligan, Joseph Gilligan Jr, is a registered financial advisor currently at ARQ WEALTH ADVISORS, LLC located in Scottsdale, Arizona.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Joseph has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joseph Jr Gilligan | Joseph Gilligan Jr

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.

Entity Name: Blue Hawaii LLC Investment related: No Address: 5418 E. Piping Rock Rd. Scottsdale, AZ 85254 Nature of the other business: LLC was formed to hold a rental property. Position/Title/Relationship: Other Start Date: 01-Oct-2015 Approximate # of hours a month: 1 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: Hold an ownership interest in the company, participate in its day-to day management and have authority to contract on behalf of the company.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Christopher Gilligan JR's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

August 28, 2019 - Present

ARQ WEALTH ADVISORS, LLC

Office #1: 14500 N. Northsight Blvd, Ste 200, Scottsdale, AZ, 85260

RIA

CRD#: 147351

Scottsdale, AZ

Past

April 21, 2009 - May 15, 2012

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

SCOTTSDALE, AZ

Past

April 9, 2009 - May 13, 2019

J.P. MORGAN SECURITIES LLC

CRD#: 79

SCOTTSDALE, AZ

Past

November 13, 2006 - September 17, 2008

J.P. MORGAN SECURITIES INC.

RIA

CRD#: 18718

SCOTTSDALE, AZ

Past

July 1, 2006 - September 17, 2008

J.P. MORGAN SECURITIES INC.

CRD#: 18718

SCOTTSDALE, AZ

Past

June 15, 2006 - July 1, 2006

BANC ONE SECURITIES CORPORATION

CRD#: 16999

SCOTTSDALE, AZ

Past

December 3, 2004 - June 5, 2006

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

CHICAGO, IL

Past

September 17, 2003 - May 1, 2006

BANC ONE SECURITIES CORPORATION

CRD#: 16999

CHICAGO, IL

Past

December 9, 2000 - December 17, 2001

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

May 13, 1996 - November 2, 2000

VANGUARD MARKETING CORPORATION

CRD#: 7452

MALVERN, PA

Past

June 13, 1995 - October 5, 1995

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

EDISON, NJ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ARQ WEALTH ADVISORS, LLC

ARQ WEALTH ADVISORS, LLC | SIEGEL/YOCUM ASSET MANAGEMENT, LLC | SIEGEL/ YOCUM ASSET MANAGEMENT, LLC | RUGGIERI FINANCIAL GROUP

CRD#: 147351 / SEC#: 801-107346

RIA

Registered Investment Advisory firm - (3/7/2016 Approved)

Arizona

Registered Investment Advisory firm - (3/9/2016 Terminated)

California

Registered Investment Advisory firm - (4/8/2016 Terminated)

Texas

Registered Investment Advisory firm - (3/9/2016 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Arizona
(8/28/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/30/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/14/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/5/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/12/1995

Investment Company Products/Variable Contracts Representative Examination

Current Firm

ARQ WEALTH ADVISORS, LLC

ARQ WEALTH ADVISORS, LLC | SIEGEL/YOCUM ASSET MANAGEMENT, LLC | SIEGEL/ YOCUM ASSET MANAGEMENT, LLC | RUGGIERI FINANCIAL GROUP

CRD#: 147351 / SEC#: 801-107346

RIA

Registered Investment Advisory firm - (3/7/2016 Approved)

Arizona

Registered Investment Advisory firm - (3/9/2016 Terminated)

California

Registered Investment Advisory firm - (4/8/2016 Terminated)

Texas

Registered Investment Advisory firm - (3/9/2016 Terminated)

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Contact information

Main Address

8605 E. Raintree Dr Ste. 240, Scottsdale, AZ 85260

Mailing Address

Phone number

(480) 214-9572

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - FIRM BROCHURE (10/1/2025)

Regulatory assets under management

Total Number of Accounts	1,663
AUM (Assets Under Management)	$ 701,933,068

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.

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Firm Stability Insights

Joseph C. Gilligan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Christopher Gilligan JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES INC.

J.P. MORGAN SECURITIES INC.

BANC ONE SECURITIES CORPORATION

CHASE INVESTMENT SERVICES CORP.

BANC ONE SECURITIES CORPORATION

CHARLES SCHWAB & CO., INC.

VANGUARD MARKETING CORPORATION

FORESTERS FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

ARQ WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/30/2006

Series 63

Date: 6/14/1995

SIE

Date: 10/1/2018

Series 7

Date: 2/5/2001

Series 6

Date: 6/12/1995

Current Firm

ARQ WEALTH ADVISORS, LLC

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ARQ WEALTH ADVISORS, LLC

TRUST BUT VERIFY

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