John F. Laughlin
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 Francis Laughlin JR, who also goes by John F Laughlin, was a registered financial advisor .
John is a previously registered financial advisor and started their career in finance in 1993. John had worked at 6 firms and has passed the Series 65, Series 63, Series 7, Series 6 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
December 2, 2010 - July 13, 2011
PLANMEMBER SECURITIES CORPORATION
December 1, 2010 - July 13, 2011
PLANMEMBER SECURITIES CORPORATION
July 13, 2006 - January 24, 2011
SCARBOROUGH SECURITIES CORPORATION
November 2, 2005 - April 24, 2006
VALLEY FINANCIAL MANAGEMENT, INC.
November 2, 2005 - April 24, 2006
VALLEY FINANCIAL MANAGEMENT, INC.
February 23, 2004 - November 4, 2005
INVEST FINANCIAL CORPORATION
February 23, 2004 - November 4, 2005
INVEST FINANCIAL CORPORATION
June 4, 2003 - January 23, 2004
LASALLE FINANCIAL SERVICES, INC.
May 30, 2003 - January 23, 2004
LASALLE FINANCIAL SERVICES, INC.
January 10, 2000 - May 16, 2003
INVEST FINANCIAL CORPORATION
May 8, 1997 - May 16, 2003
INVEST FINANCIAL CORPORATION
April 20, 1993 - April 23, 1993
WOODBURY FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
PLANMEMBER SECURITIES CORPORATION
CRD#: 11869 / SEC#: 801-39177, 8-25065
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
PLANMEMBER SECURITIES CORPORATION
CRD#: 11869 / SEC#: 801-39177, 8-25065
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PLANMEMBER FINANCIAL CORPORATION | OWNER | |
| BOWMAN, BYRON FRANCIS | CHIEF LEGAL OFFICER & SECRETARY | 2673117 |
| HALEY, SEAN PATRICK | CHIEF COMPLIANCE OFFICER | 2837579 |
| HANSON, STEVEN R | CHIEF FINANCIAL OFFICER / FINOPS | 4854600 |
| JANEWAY, TERRALL JOSEPH | EVP/CHIEF OPERATING OFFICER | 2947154 |
| ZIEHL, JON MICHAEL | PRESIDENT | 707642 |
Regulatory assets under management
| Total Number of Accounts | 68,978 |
| AUM (Assets Under Management) | $ 9,035,509,268 |
Disclosures
| Regulatory Event | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/21/2022 | ||
| 12/21/2022 |
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.
