John P. 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.
John Paul Mclaughlin, who also goes by John Paul Mcloughlin, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1990. John had worked at 8 firms and has passed the Series 63, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 18, 2011 - July 16, 2013
BURRILL SECURITIES
May 27, 2003 - July 29, 2011
BTIG, LLC
February 16, 2000 - May 23, 2003
BANC OF AMERICA SECURITIES LLC
July 9, 1999 - April 18, 2000
PREFERREDTRADE, INC.
September 14, 1998 - January 22, 1999
PACIFIC GROWTH EQUITIES, LLC
January 27, 1998 - August 27, 1998
WELLS FARGO SECURITIES, LLC
April 11, 1992 - March 9, 1998
ABN AMRO SECURITIES LLC
April 25, 1990 - February 7, 1992
CANTOR FITZGERALD & CO.
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 55
Date: 1/18/2000
Limited Representative-Equity Trader ExamCurrent Firm
BURRILL SECURITIES
CRD#: 140221 / SEC#: , 8-67296
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
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.
