Colleen M. Mclaughlin
Professional summary
Colleen Margaret Mclaughlin was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Colleen is a previously registered financial professional and started their career in finance in 1988. Prior to being barred, Colleen had worked at 5 firms, which includes RAYMOND JAMES FINANCIAL SERVICES INC., OSAIC WEALTH INC., KEOGLER MORGAN & COMPANY INC., SECURITIES AMERICA INC., VERAVEST INVESTMENTS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 15, 1997 - October 23, 2002
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 31, 1997 - October 2, 1997
OSAIC WEALTH, INC.
October 11, 1994 - January 31, 1997
KEOGLER, MORGAN & COMPANY, INC.
April 23, 1993 - September 15, 1994
SECURITIES AMERICA, INC.
September 26, 1988 - December 14, 1992
VERAVEST INVESTMENTS, 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
Series 62
Date: 10/2/1991
Corporate Securities Limited Representative ExaminationCurrent Firm
RAYMOND JAMES FINANCIAL SERVICES, INC.
CRD#: 6694 / SEC#: , 8-17983
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | OWNER | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| ELWYN, TASHTEGO SPRING | DIRECTOR | 2319098 |
| GEIS, WILLIAM CHRISTIAN | DIRECTOR | 2171250 |
| GRIGAS CALIGIURI, KARA | PRINCIPAL FINANCIAL OFFICER, FINOP | 2146027 |
| KRUCHTEN, STEPHEN EDWARD | DIRECTOR | 1645287 |
| REID, SHANNON BELVEAL | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 4815189 |
| RUST, KEITH G | PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL | 6306997 |
Disclosures
| Regulatory Event | 128 |
| Arbitration | 76 |
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