Michael S. 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.
Michael Sean Mclaughlin, CFP®, who also goes by Mike Mclaughlin, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1990. Michael had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 3, 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
March 30, 2020 - July 20, 2020
CHESTERBROOK CAPITAL
February 10, 2016 - July 23, 2019
CAPITAL ONE ADVISORS, LLC
February 10, 2016 - July 23, 2019
CAPITAL ONE INVESTING, LLC
August 13, 2015 - December 11, 2015
SGL FINANCIAL, LLC
January 6, 2005 - August 16, 2007
VANGUARD ADVISERS, INC.
June 5, 1996 - October 10, 2002
VANGUARD ADVISERS, INC.
January 1, 1992 - July 23, 2015
VANGUARD MARKETING CORPORATION
October 3, 1991 - April 14, 1992
GUARDIAN INVESTOR SERVICES LLC
December 11, 1990 - July 19, 1991
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CHESTERBROOK CAPITAL
CRD#: 104395 / SEC#: , 8-52857
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MAGIS CAPITAL PARTNERS LLC | PARENT | |
| BARTON, JAMES JOSEPH | CHIEF EXECUTIVE OFFICER / CHIEF COMPLIANCE OFFICER | 4692910 |
Red Flags
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