JM
John A. Mcloughlin
OSAIC INSTITUTIONS
Poughkeepsie, NY 12601
Some features on this profile are disabled
CRD#: 1437650
JM
Professional summary
John Andrew Mcloughlin, who also goes by John A Mcloughlin, John Andrew Mcloughlin, John Mcloughlin, is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in Poughkeepsie, New York.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. John has worked at 12 firms and has passed the Series 65, Series 63, Series 7TO, Series 52TO, SIE, Series 7, Series 24, Series 51 and Series 53 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
John A Mcloughlin | John Andrew Mcloughlin | John Mcloughlin
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.
Employee at Ferreira construction for utility companies-non investment related/Juno beach Florida Business development/started January 2021 20 hours per week/ 10 hours during trading hours duties: develop relationships with diversity groups to attain engineering and design business for utility construction company
CRS (Client Relationship Summary) - RIA
Click below to view John Andrew Mcloughlin's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Andrew Mcloughlin'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
March 31, 2025 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 2 Jefferson Plaza, Poughkeepsie, NY 12601Office #2: 252 Main St, Goshen, NY 10924RIA
BD
CRD#: 35371
Poughkeepsie, NY
Current
March 31, 2025 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 2 Jefferson Plaza, Poughkeepsie, NY 12601Office #2: 252 Main St, Goshen, NY 10924RIA
BD
CRD#: 35371
Poughkeepsie, NY
Past
November 7, 2023 - March 18, 2025
SANTANDER SECURITIES LLC
RIA
CRD#: 41791
Florham Park, NJ
Past
November 7, 2023 - March 18, 2025
SANTANDER SECURITIES LLC
BD
CRD#: 41791
Florham Park, NJ
Past
September 26, 2022 - November 10, 2023
WOODBURY FINANCIAL SERVICES, INC.
RIA
CRD#: 421
MANHASSET, NY
Past
September 23, 2022 - November 10, 2023
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
MANHASSET, NY
Past
February 7, 2017 - September 29, 2020
SANTANDER SECURITIES LLC
RIA
CRD#: 41791
Florham Park, NJ
Past
January 13, 2017 - September 29, 2020
SANTANDER SECURITIES LLC
BD
CRD#: 41791
Florham Park, NJ
Past
June 17, 2011 - January 5, 2017
CITIZENS SECURITIES, INC.
RIA
CRD#: 39550
CRANSTON, RI
Past
June 17, 2011 - January 5, 2017
CITIZENS SECURITIES, INC.
BD
CRD#: 39550
CRANSTON, RI
Past
June 14, 2010 - June 28, 2011
LPL FINANCIAL LLC
BD
CRD#: 6413
ALBANY, NY
Past
January 8, 2010 - June 21, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
RIA
CRD#: 13787
ALBANY, NY
Past
January 8, 2010 - June 21, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
BD
CRD#: 13787
ALBANY, NY
Past
April 6, 2006 - August 10, 2009
UVEST FINANCIAL SERVICES GROUP, INC.
RIA
CRD#: 13787
POUGHKEEPSIE, NY
Past
April 6, 2006 - August 10, 2009
UVEST FINANCIAL SERVICES GROUP, INC.
BD
CRD#: 13787
POUGHKEEPSIE, NY
Past
November 18, 1996 - June 13, 2005
ESSEX NATIONAL SECURITIES, LLC
BD
CRD#: 25454
NAPA, CA
Past
January 4, 1993 - October 8, 1998
KEY INVESTMENTS INC.
BD
CRD#: 15873
CLEVELAND, OH
Past
April 26, 1991 - December 31, 1992
INDEPENDENT FINANCIAL SECURITIES, INC.
BD
CRD#: 19924
Past
January 4, 1989 - March 13, 1991
CAPITAL BROKERAGE CORPORATION
BD
CRD#: 10465
GLEN ALLEN, VA
Past
August 25, 1987 - December 22, 1988
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Past
October 22, 1986 - August 21, 1987
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
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".
OI
OSAIC INSTITUTIONS, INC.
CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
RIA
Registered Investment Advisory firm - SEC (11/2/2006 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Maine
Registered Investment Advisory firm - SEC (12/7/2006 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (3/23/2007 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Ohio
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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
Connecticut(3/31/2025)
RR
New Jersey(3/31/2025)
RR
New York(3/31/2025)
IAR
New York(3/31/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 3/15/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 3/15/2022
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
OI
OSAIC INSTITUTIONS, INC.
CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
RIA
Registered Investment Advisory firm - SEC (11/2/2006 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Maine
Registered Investment Advisory firm - SEC (12/7/2006 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (3/23/2007 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Ohio
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
538 Preston Avenue, Meriden, CT 06450-4858
Mailing Address
538 Preston Avenue, Meriden, CT 06450-4858
Phone number
(203) 599-6000
Established
Connecticut since 04/07/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
630
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC INSTITUTIONS HOLDINGS, INC. | HOLDING COMPANY | |
| AMARANTE, STEPHEN PAUL | PRESIDENT, CEO AND DIRECTOR | 3165067 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| MITCHELL, CHRISTOPHER MILLS | CORPORATE TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR AND EXECUTIVE VICE PRESIDENT OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
Regulatory assets under management
| Total Number of Accounts | 8,779 |
| AUM (Assets Under Management) | $ 4,024,448,971 |
Disclosures
| Regulatory Event | 8 |
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
OSAIC INSTITUTIONS, INC.
CRD#: 35371Poughkeepsie, NY 12601TRUST BUT VERIFY
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