Steven F. Loughlin
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.
Steven Francis Loughlin was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1982. Steven had worked at 5 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 27, 2004 - November 1, 2005
INVESTORS CAPITAL CORP.
April 25, 1994 - August 9, 2004
MORGAN STANLEY DW INC.
July 31, 1993 - April 26, 1994
CITIGROUP GLOBAL MARKETS INC.
August 13, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
June 12, 1991 - August 14, 1992
MORGAN STANLEY DW INC.
May 4, 1989 - June 11, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 20, 1982 - April 3, 1989
MORGAN STANLEY DW INC.
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
INVESTORS CAPITAL CORP.
CRD#: 30613 / SEC#: 801-62341, 8-45054
Contact information
Disclosures
| Regulatory Event | 22 |
| Arbitration | 11 |
Red Flags
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