ML
Mitchell C. Laughton
KESTRA ADVISORY SERVICES
RENO, NV 89503
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CRD#: 1112392
ML
Professional summary
Mitchell Carter Laughton, AIF® is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Reno, Nevada and KESTRA INVESTMENT SERVICES, LLC located in Reno, Nevada.
Mitchell is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Mitchell has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 10, Series 9 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
Business Name: The Laughton Company Investment Related: Yes Address: 140 Washington Street Reno NV 89503 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Consulting; Insurance; Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Owner Start Date: 4/15/1972 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: Insurance and Securities advise, sales and service Business Name: McMillan House , LLC Investment Related: No Address: 140 Washington Street Ste. 100 Reno NV 89503 Nature of Business: Other Other/None of the Above Family Real Estate - Non Income Producing Position, Title or Relationship: Owner - Manager Start Date: 1/2/2012 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Family Real Estate - Non Income Producing Business Name: Kestra Advisory Services, LLC Investment Related: Yes Address: 5707 Southwest Parkway Building 2, Suite 400 Austin TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Investment Advisor Representative Start Date: 4/4/2016 Hours per month: Up to 100% (0 to 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Investment advisory services Business Name: JUSTin Hope Foundation Investment Related: No Address: 870 Steneri Way, Suite 101 Sparks NV 89431 Nature of Business: Board Position (Board of Directors, Board of Trustees, etc.) Position, Title or Relationship: Board Member Start Date: 2/10/2020 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: General Board Obligations, Meeting and Fundraising for the charity's mission. Business Name: THE PROSPECTORS CLUB POSITION: Vice President NATURE: Board position (Board of Directors, Board of Trustees, etc.) INVESTMENT RELATED: No NUMBER OF HOURS: 6 SECURITIES TRADING HOURS: 3 START DATE: 06/02/2023 ADDRESS: 160 West Liberty Street, Reno NV 89501 DESCRIPTION: Approving the budget for the club and its events, and the ongoing business of the club. There are monthly board meeting to discuss the clubs ongoing affairs.
CRS (Client Relationship Summary) - RIA
Click below to view Mitchell Carter Laughton's 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®
Experience
Current
April 29, 2016 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 140 Washington St Ste. 100, Reno, NV 89503RIA
CRD#: 283330
RENO, NV
Current
March 12, 2001 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 140 Washington St Ste. 100, Reno, NV 89503BD
CRD#: 42046
Reno, NV
Past
August 23, 2001 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
AUSTIN, TX
Past
May 11, 1994 - March 27, 2001
NATHAN & LEWIS SECURITIES, INC.
BD
CRD#: 8503
NEW YORK, NY
Past
May 5, 1983 - May 6, 1994
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
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".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)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.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
Arizona(3/12/2001)
RR
California(3/12/2001)
RR
Nevada(3/12/2001)
IAR
Nevada(4/29/2016)
RR
Texas(7/8/2002)
IAR
Texas(7/26/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 6/24/1996
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
