Patrick J. Mclaughlin
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.
Patrick James Mclaughlin, who also goes by Patrick James Mclaughlin, Pat Mclaughlin, was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1983. Patrick had worked at 12 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 6TO, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 23, 2024 - June 20, 2025
STATE FARM INVESTMENT MANAGEMENT CORP.
December 23, 2024 - June 20, 2025
STATE FARM VP MANAGEMENT CORP.
September 12, 2024 - October 21, 2024
PRUCO SECURITIES, LLC.
August 19, 2024 - October 21, 2024
PRUCO SECURITIES, LLC.
August 31, 2020 - September 29, 2022
ALLSTATE FINANCIAL SERVICES, LLC
January 8, 2020 - September 29, 2022
ALLSTATE FINANCIAL ADVISORS, LLC
August 7, 2017 - December 3, 2019
UNITED ADVISORS AMERICA
October 18, 2016 - August 14, 2017
GRADIENT ADVISORS, LLC
July 14, 2010 - October 1, 2012
ALLSTATE FINANCIAL SERVICES, LLC
October 27, 2009 - June 30, 2010
MIDAMERICA FINANCIAL SERVICES, INC.
November 22, 2006 - December 31, 2007
LIFEMARK SECURITIES CORP.
October 27, 2004 - December 14, 2006
1717 CAPITAL MANAGEMENT COMPANY
February 24, 2004 - October 18, 2004
RAMPART FINANCIAL SERVICES, INC.
March 24, 1999 - January 6, 2004
RAMPART FINANCIAL SERVICES, INC.
December 22, 1983 - April 14, 1999
NYLIFE SECURITIES LLC
Primary Firm SEC Registration
STATE FARM INVESTMENT MANAGEMENT CORP.
CRD#: 3487 / SEC#: 801-8184, 8-13379
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
Series 7TO
Date: 8/15/2024
General Securities Representative ExaminationSeries 6TO
Date: 8/11/2020
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
STATE FARM INVESTMENT MANAGEMENT CORP.
CRD#: 3487 / SEC#: 801-8184, 8-13379
Contact information
SEC notice filing (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STATE FARM MUTUAL AUTOMOBILE INSURANCE COMPANY | OWNER | |
| CHEVALIER, JEREL SAM | ASSISTANT SECRETARY-TREASURER | 2209892 |
| GRIMES, DAVID ROY | VICE PRESIDENT & SECRETARY | 1432710 |
| GRIZZLE, DAVID RAY | ASSISTANT SECRETARY/TREASURER | 4084087 |
| HORTON, STEPHEN LOWELL | ASSISTANT SECRETARY | 3124493 |
| JAYNES, DONALD ONEIL | ASSISTANT SECRETARY | 3124497 |
| JOSLIN, ROGER SCOTT | DIRECTOR, VICE PRESIDENT & TREASURER | 262350 |
| KILLIAN, JOHN JOSEPH | DIRECTOR | 2614915 |
| MOORE, DAVID MICHAEL | ASSISTANT SECRETARY | 2876793 |
| MOSER, KURT GEORGE | DIRECTOR & SENIOR VICE PRESIDENT | 2065254 |
| RUST, EDWARD BARRY JR | DIRECTOR AND PRESIDENT | 1450795 |
| THOMAS, HOWARD ANDREW | ASSISTANT SECRETARY-TREASURER | 3150520 |
| TIPSORD, MICHAEL LEON | ASSISTANT SECRETARY | 1943922 |
| TROSINO, VINCENT JOSEPH | DIRECTOR | 1780681 |
Regulatory assets under management
| Total Number of Accounts | 38 |
| AUM (Assets Under Management) | $ 11,294,815,444 |
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.
