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Patrick M. Caragher

PRINCIPAL FUNDS DISTRIBUTOR
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 5755171
PC

Professional summary

Patrick Michael Caragher, who also goes by Patrick Michael Caragher, is a registered financial professional 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.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Patrick Michael Caragher

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 Patrick Michael Caragher'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

November 20, 2024 - Present

PRINCIPAL FUNDS DISTRIBUTOR, INC.

Office #1: One North Wacker Drive Suite 3900, Chicago, IL 60606
BD
CRD#: 43261
Chicago, IL
Past

May 11, 2022 - October 8, 2024

JANUS HENDERSON DISTRIBUTORS US LLC

BD
CRD#: 28832
DENVER, CO
Past

May 26, 2017 - August 22, 2022

AEGON ASSET MANAGEMENT US

RIA
CRD#: 114537
Chicago, IL
Past

May 15, 2017 - April 22, 2022

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
Chicago, IL
Past

July 30, 2015 - April 7, 2017

GENEVA CAPITAL MANAGEMENT LLC

RIA
CRD#: 105432
CHICAGO, IL
Past

April 24, 2015 - April 7, 2017

JANUS HENDERSON INVESTORS

RIA
CRD#: 107300
CHICAGO, IL
Past

March 30, 2011 - April 11, 2017

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
CHICAGO, IL

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Colorado
(11/20/2024)
RR
Illinois
(11/20/2024)
RR
Indiana
(11/20/2024)
RR
Iowa
(11/20/2024)
RR
Kansas
(11/20/2024)
RR
Michigan
(11/20/2024)
RR
Minnesota
(11/20/2024)
RR
Missouri
(11/20/2024)
RR
Nebraska
(11/20/2024)
RR
North Dakota
(11/20/2024)
RR
Ohio
(11/20/2024)
RR
Oklahoma
(11/20/2024)
RR
South Dakota
(11/20/2024)
RR
Wisconsin
(11/20/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 4/24/2015
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/2/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 6/28/2018
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 8/29/2011
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 3/29/2011
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

PF
PRINCIPAL FUNDS DISTRIBUTOR, INC.
COMPOSITE DISTRIBUTORS INC. | WM FUNDS DISTRIBUTOR, INC. | PRINCIPAL FUNDS DISTRUBUTOR, INC. | PRINCIPAL FUNDS DISTRIBUTOR, INC. | COMPOSITE FUNDS DISTRIBUTOR, INC.

CRD#: 43261 / SEC#: , 8-50200

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
711 High Street, Des Moines, IA 50392
Mailing Address
711 High Street, Des Moines, IA 50392
Phone number
(800) 222-5852
Established
Washington since 04/17/1997
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# 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#
PRINCIPAL GLOBAL INVESTORS HOLDING COMPANY (US), LLCOWNER
BERG, JOHN THOMASDIRECTOR7973551
CLINES, SEAN THOMASCHIEF FINANCIAL OFFICER3055601
DESSOUKI, RAMONA HIATTCHIEF MARKETING OFFICER7812577
HILL, TIMOTHY ALLENNATIONAL SALES MANAGER/DIRECTOR2317289
HOESKE, DINA ROMEOSENIOR DIRECTOR - FUND SHAREHOLDER SERVICES2704646
MURRAY, MICHAEL FRANCISDIRECTOR2074275
SCHOLTEN, MICHAEL JOSEPHPRINCIPAL OPERATIONS OFFICER6388259
STOCKMAN, MICHELLE RENEECHIEF COMPLIANCE OFFICER5010490
WONG, BRANT KPRESIDENT/DIRECTOR (CHAIRMAN)5093714

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

PRINCIPAL FUNDS DISTRIBUTOR, INC.

CRD#: 43261Chicago, IL 60606

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