HM
H C. Mclaughlin
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Sarasota, FL
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CRD#: 1431465
HM
Professional summary
H Courtney Mclaughlin, who also goes by Henry Courtney Mclaughlin, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Sarasota, Florida and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Sarasota, Florida.
H is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. H has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 3 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Henry Courtney Mclaughlin
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.
1) JUXTAN GROUP CORP, 1521 LAKEFRONT DR UNIT 210 SARASOTA FL 34240, 07/2023, OWNER, REAL ESTATE, NIR, 2 HR/MO 0 HR/MO TRADING 2) CIRA, 1776 PLEASANT PLAIN RD FAIRFIELD IA 52556, 07/12/2023, INVESTMENT ADVISOR THAT MANAGES CLIENT ASSETS OR PREPARES FINANCIAL PLANS FOR A FEE, INV REL, 180 HR/MO 132 HR/MO TRADING 3) MCLAUGHLIN FINANCIAL, LLC, 1521 Lakefront Dr Unit 210, Sarasota FL 34240-1577, United States, 10/02/2023, Owner, Insurance/Benefits/Human Resources, NIR, 15 HR/MO - 2 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view H Courtney Mclaughlin'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®
NoneExperience
Current
July 19, 2023 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
Sarasota, FL
Current
July 17, 2023 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
Sarasota, FL
Past
November 1, 2021 - June 1, 2023
AMERITAS ADVISORY SERVICES, LLC
RIA
CRD#: 317245
SARASOTA, FL
Past
April 18, 2021 - November 1, 2021
AMERITAS INVESTMENT COMPANY, LLC
RIA
CRD#: 14869
SARASOTA, FL
Past
April 16, 2021 - June 1, 2023
AMERITAS INVESTMENT COMPANY, LLC
BD
CRD#: 14869
SARASOTA, FL
Past
May 27, 2020 - March 12, 2021
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
CRANBURY, NJ
Past
April 24, 2020 - March 12, 2021
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
CRANBURY, NJ
Past
September 20, 2001 - November 15, 2019
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
NEW YORK, NY
Past
November 19, 1985 - January 30, 1988
LEHMAN BROTHERS INC.
BD
CRD#: 7506
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".
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
Registered Investment Advisory firm - (2/3/2005 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(9/15/2025)
RR
Colorado(10/11/2024)
RR
Connecticut(7/17/2023)
RR
Florida(7/17/2023)
IAR
Florida(7/19/2023)
RR
Idaho(1/2/2025)
RR
Maryland(9/26/2025)
RR
Massachusetts(7/17/2023)
RR
Montana(7/2/2024)
RR
New Hampshire(7/17/2023)
RR
New Jersey(7/17/2023)
RR
New York(7/17/2023)
RR
North Carolina(7/17/2023)
RR
Pennsylvania(7/17/2023)
RR
South Carolina(1/2/2025)
RR
South Dakota(9/11/2024)
RR
Texas(1/2/2024)
IAR
Texas(1/3/2024)
RR
Utah(1/2/2025)
RR
Wyoming(7/17/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
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Contact information
Main Address
1776 Pleasant Plain Rd., Fairfield, IA 52556-8757
Mailing Address
Phone number
(641) 472-5100
Established
Firm type
Fiscal year end
# of Employees
3,361
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
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.
