Timothy J. 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.
Timothy Justin Laughlin, who also goes by Tim Laughlin, was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1994. Timothy had worked at 10 firms and has passed the Series 66, Series 63, Series 65, 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
August 16, 2022 - August 28, 2025
T. ROWE PRICE ADVISORY SERVICES, INC.
October 16, 2020 - August 28, 2025
T. ROWE PRICE INVESTMENT SERVICES, INC.
February 17, 2016 - May 7, 2018
INDEPENDENT FINANCIAL PARTNERS
February 11, 2016 - May 7, 2018
LPL FINANCIAL LLC
June 19, 2007 - March 18, 2015
TD AMERITRADE, INC.
June 19, 2007 - March 18, 2015
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
June 19, 2007 - March 18, 2015
TD AMERITRADE, INC.
July 10, 2003 - June 15, 2007
CHARLES SCHWAB & CO., INC.
July 10, 2003 - June 15, 2007
CHARLES SCHWAB & CO., INC.
December 21, 1999 - November 25, 2002
CREDIT SUISSE ASSET MANAGEMENT, LLC
June 21, 1996 - November 21, 2002
CREDIT SUISSE ASSET MANAGEMENT SECURITIES LLC
July 12, 1994 - April 25, 1996
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
T. ROWE PRICE ADVISORY SERVICES, INC.
CRD#: 108958 / SEC#: 801-58098
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
T. ROWE PRICE ADVISORY SERVICES, INC.
CRD#: 108958 / SEC#: 801-58098
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,014 |
| AUM (Assets Under Management) | $ 3,861,357,894 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/28/2025 | ||
| 01/27/2025 | ||
| 10/27/2023 | ||
| 01/27/2023 |
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.
