Patrick Caragher
Professional Summary
Patrick Caragher, who also goes by Patrick Michael Caragher, is a registered financial advisor currently at PRINCIPAL FUNDS DISTRIBUTOR, INC. located in Chicago, Illinois. Patrick is registered as a RR (Registered Representative) and started their career in finance in 2011. Patrick has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Patrick Michael Caragher
Similar Advisors
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
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.
Similar Advisors
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
Years of Experience
15 years in the financial services industry
Current & Past Employments
Similar Advisors
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
Current Firm
COMPOSITE DISTRIBUTORS INC. | WM FUNDS DISTRIBUTOR, INC. | PRINCIPAL FUNDS DISTRUBUTOR, INC. | PRINCIPAL FUNDS DISTRIBUTOR, INC. | COMPOSITE FUNDS DISTRIBUTOR, INC.
Contact Information
Main Address
711 High Street, Des Moines, IA 50392Mailing Address
711 High Street, Des Moines, IA 50392Phone Number
(800) 222-5852Established
Washington since 04/17/1997Firm Type
CorporationFiscal Year End
DecemberFirm Size
MediumFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRINCIPAL GLOBAL INVESTORS HOLDING COMPANY (US), LLC | OWNER | — |
| CLINES, SEAN THOMAS | CHIEF FINANCIAL OFFICER | 3055601 |
| DESSOUKI, RAMONA HIATT | CHIEF MARKETING OFFICER | 7812577 |
| DROGAN, THOMAS JOHN | CHIEF COMPLIANCE OFFICER | 2760482 |
| HOESKE, DINA ROMEO | SENIOR DIRECTOR - FUND SHAREHOLDER SERVICES | 2704646 |
| MURRAY, MICHAEL FRANCIS | DIRECTOR | 2074275 |
| SCHOLTEN, MICHAEL JOSEPH | PRINCIPAL OPERATIONS OFFICER | 6388259 |
| VOHRA, ROHIT | DIRECTOR | 4163828 |
| WONG, BRANT K | PRESIDENT/DIRECTOR (CHAIRMAN) | 5093714 |
Similar Advisors
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
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.
Similar Advisors
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
State Registrations and Notice Filings
(11/20/2024)
(11/20/2024)
(11/20/2024)
(11/20/2024)
(11/20/2024)
(11/20/2024)
(11/20/2024)
(11/20/2024)
(11/20/2024)
(11/20/2024)
(11/20/2024)
(11/20/2024)
(11/20/2024)
(11/20/2024)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Mar 2011About the Series 6 examSRO Registrations
Similar Advisors
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
CRS (Client Relationship Summary) - BD
Click below to view Patrick Caragher's CRS (Customer Relationship Summary).
Similar Advisors
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
