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RP

Ryan E. Philpott

PIMCO INVESTMENTS LLC
Austin, TX 78701
Some features on this profile are disabled
CRD#: 5625474
RP

Professional summary

Ryan Edward Philpott is a registered financial professional currently at PIMCO INVESTMENTS LLC located in Austin, Texas.

Ryan is registered as a RR (Registered Representative) and started their career in finance in 2013. Ryan has worked at 3 firms and has passed the SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ryan Edward Philpott'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

January 11, 2019 - Present

PIMCO INVESTMENTS LLC

Office #1: 401 Congress Avenue Frost Bank Tower, Austin, TX 78701
BD
CRD#: 154957
Austin, TX
Past

September 16, 2015 - January 9, 2019

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
Austin, TX
Past

October 8, 2013 - September 22, 2015

KESTRA INVESTMENT SERVICES, LLC

BD
CRD#: 42046
AUSTIN, TX

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/7/2013
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/18/2015
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

PI
PIMCO INVESTMENTS LLC
PIMCO INVESTMENTS LLC

CRD#: 154957 / SEC#: , 8-68686

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
1633 Broadway 45th Floor, New York, NY 10019
Mailing Address
1633 Broadway 45th Floor, New York, NY 10019
Phone number
(212) 776-1500
Established
Delaware since 07/07/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PACIFIC INVESTMENT MANAGEMENT COMPANY LLCSOLE MEMBER104559
BENTLEY, JAMES DANIELMANAGER, BOARD OF MANAGERS5138093
BURG, ANTHONY ALANTREASURER6005184
FERRARI, DAVID RICHARDPRINCIPAL FINANCIAL OFFICER & FINANCIAL AND OPERATIONS PRINCIPAL6004690
HALL, GREGORY WESTONPRINCIPAL EXECUTIVE OFFICER & CHAIRMAN, BOARD OF MANAGERS3111343
MURPHY, JORDAN MITCHELLCHIEF COMPLIANCE OFFICER4221561
OGLESBY, SARAH JANESECRETARY7676855
PITTERS, CALEB JOSEPH ALEXANDER JRMANAGER, BOARD OF MANAGERS3198603
SUTHERLAND, ERIC MICHAELPRESIDENT & MANAGER, BOARD OF MANAGERS1724744
THOMAS, MARK GARETHHEAD OF BUSINESS MANAGEMENT2923871
WHITTAKER, MEGAN HAYESAML COMPLIANCE OFFICER6442805
WHITTEN, CANDICE STACKMANAGER, BOARD OF MANAGERS4460452

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.

Company Information

PIMCO INVESTMENTS LLC

CRD#: 154957Austin, TX 78701

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