Charles 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.
Charles William Mclaughlin JR, who also goes by Charles W Mclaughlin, Charlie Mclaughlin, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1992. Charles had worked at 6 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 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 17, 2017 - May 20, 2021
J.H. DARBIE & CO., INC.
July 6, 2011 - December 9, 2016
LEGEND SECURITIES, INC.
June 1, 2010 - October 1, 2010
TRADITION SECURITIES AND DERIVATIVES LLC
June 4, 2008 - May 6, 2010
PALI CAPITAL, INC.
December 10, 1993 - May 28, 2008
JEFFERIES LLC
October 7, 1992 - August 24, 1993
PRUDENTIAL EQUITY GROUP, LLC
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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 10/19/1999
Limited Representative-Equity Trader ExamCurrent Firm
J.H. DARBIE & CO., INC.
CRD#: 43520 / SEC#: , 8-50335
Contact information
FINRA licenses (46 States and Territories)
Disclosures
| Regulatory Event | 10 |
| Civil Event | 1 |
| Arbitration | 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.
