Leontia M. 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.
Leontia Mary Mclaughlin, who also goes by Leontia Mary Mc Laughlin, Lee Mary Mclaughlin, Leontia M Mclaughlin, was a registered financial professional .
Leontia is a previously registered financial professional and started their career in finance in 2002. Leontia had worked at 13 firms and has passed the Series 66, SIE, Series 31, Series 7, Series 10, Series 9 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 12, 2021 - February 7, 2025
PIMCO INVESTMENTS LLC
August 28, 2014 - December 2, 2020
NUVEEN ASSET MANAGEMENT, LLC
August 28, 2014 - December 2, 2020
NUVEEN SECURITIES, LLC
February 6, 2013 - May 13, 2014
CETERA INVESTMENT SERVICES LLC
February 6, 2013 - May 13, 2014
CETERA ADVISORS LLC
February 6, 2013 - May 13, 2014
CETERA WEALTH SERVICES, LLC
August 20, 2012 - May 13, 2014
CETERA INVESTMENT ADVISERS LLC
August 20, 2012 - May 13, 2014
CETERA FINANCIAL SPECIALISTS LLC
January 3, 2012 - July 3, 2012
DEUTSCHE BANK SECURITIES INC.
March 25, 2011 - January 3, 2012
DB SECURITIES SERVICES NJ INC.
November 10, 2010 - January 27, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 10, 2010 - January 27, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 25, 2007 - July 13, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
January 25, 2007 - July 13, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
May 10, 2004 - July 20, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 8, 2004 - July 20, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 30, 2002 - February 27, 2003
MORGAN STANLEY DW INC.
May 8, 2002 - February 27, 2003
MORGAN STANLEY DW 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
Current Firm
PIMCO INVESTMENTS LLC
CRD#: 154957 / SEC#: , 8-68686
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PACIFIC INVESTMENT MANAGEMENT COMPANY LLC | SOLE MEMBER | 104559 |
| BENTLEY, JAMES DANIEL | MANAGER, BOARD OF MANAGERS | 5138093 |
| BURG, ANTHONY ALAN | TREASURER | 6005184 |
| DUBITZKY, YITZHAK ZVI | CHIEF COMPLIANCE OFFICER & CHIEF LEGAL OFFICER | 6897287 |
| FERRARI, DAVID RICHARD | PRINCIPAL FINANCIAL OFFICER & FINANCIAL AND OPERATIONS PRINCIPAL | 6004690 |
| HALL, GREGORY WESTON | PRINCIPAL EXECUTIVE OFFICER & CHAIRMAN, BOARD OF MANAGERS | 3111343 |
| OGLESBY, SARAH JANE | SECRETARY | 7676855 |
| PITTERS, CALEB JOSEPH ALEXANDER JR | MANAGER, BOARD OF MANAGERS | 3198603 |
| SUTHERLAND, ERIC MICHAEL | PRESIDENT & MANAGER, BOARD OF MANAGERS | 1724744 |
| THOMAS, MARK GARETH | HEAD OF BUSINESS MANAGEMENT | 2923871 |
| TRACY, LAUREN RITA | MANAGER, BOARD OF MANAGERS | 4027974 |
| WHITTAKER, MEGAN HAYES | AML COMPLIANCE OFFICER | 6442805 |
Red Flags
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