Steven W. 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.
Steven William Mclaughlin was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1988. Steven had worked at 26 firms and has passed the Series 66, Series 63, SIE 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
March 6, 2017 - January 29, 2018
KELLEHER FINANCIAL ADVISORS, LLC
November 18, 2016 - January 29, 2018
WALL STREET ACCESS
May 27, 2015 - October 7, 2016
FIRST EMPIRE ASSET MANAGEMENT, INC
May 26, 2015 - October 7, 2016
FIRST EMPIRE SECURITIES, INC.
June 19, 2013 - December 15, 2014
NATALLIANCE SECURITIES, LLC
January 30, 2013 - June 5, 2015
SEELAUS ASSET MANAGEMENT, LLC
June 8, 2012 - April 4, 2013
R. SEELAUS & CO., LLC
June 6, 2012 - May 28, 2013
R. SEELAUS & CO., LLC
August 3, 2007 - July 9, 2012
FCG ADVISORS, LLC
February 28, 2006 - July 10, 2007
BNY CAPITAL MARKETS INC.
October 13, 2005 - March 1, 2006
TD WEALTH MANAGEMENT SERVICES INC.
February 1, 2005 - October 13, 2005
LEGG MASON WOOD WALKER, INCORPORATED
June 30, 2003 - January 28, 2005
J.P. MORGAN SECURITIES INC.
September 27, 2001 - July 1, 2003
BANC ONE CAPITAL MARKETS, INC.
October 1, 1999 - August 29, 2000
WELLS FARGO CLEARING SERVICES, LLC
July 20, 1998 - April 5, 1999
JACKSON SECURITIES LLC
February 2, 1998 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
January 2, 1996 - February 2, 1998
FIRST UNION CAPITAL MARKETS CORP.
July 6, 1995 - January 2, 1996
FIRST FIDELITY BROKERS, INC.
November 15, 1991 - June 1, 1995
CIBC WORLD MARKETS CORP.
August 24, 1991 - November 15, 1991
COMMONWEALTH ASSOCIATES
April 24, 1991 - July 24, 1991
LEHMAN BROTHERS INC.
June 5, 1990 - April 23, 1991
PRUDENTIAL EQUITY GROUP, LLC
April 30, 1990 - May 9, 1990
J.P. MORGAN SECURITIES LLC
August 14, 1989 - May 1, 1990
CITIGROUP GLOBAL MARKETS INC.
December 15, 1988 - July 26, 1989
UBS FINANCIAL SERVICES INC.
August 19, 1988 - December 13, 1988
ROBERT THOMAS SECURITIES, INC
Primary Firm SEC Registration
KELLEHER FINANCIAL ADVISORS, LLC
CRD#: 126021 / SEC#: 801-62029
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
Current Firm
KELLEHER FINANCIAL ADVISORS, LLC
CRD#: 126021 / SEC#: 801-62029
Contact information
SEC notice filing (16 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 648 |
| AUM (Assets Under Management) | $ 1,025,582,365 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/21/2024 | ||
| 10/25/2023 | ||
| 02/28/2023 |
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.
