CM
Charles H. Mcloughlin
INDEPENDENT FINANCIAL GROUP
Covington, LA
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CRD#: 2452345
CM
Professional summary
Charles Henry Mcloughlin, who also goes by Charles H Mcloughlin, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Covington, Louisiana.
Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Charles has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Charles H Mcloughlin
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
(1) MCLOUGHLIN FINANCIAL, LLC POSITION: Officer/Director NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 08/01/2020 ADDRESS: 357 Del Sol E, Covington LA 70433, United States DESCRIPTION: DBA used for marketing purposes (2) INSURANCE POSITION: Agent/Representative NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 3 START DATE: 10/01/1994 ADDRESS: 357 Del Sol E., Covington LA 70433, United States DESCRIPTION: Insurance Agent MOSAT HOLY TRINITY CATHOLIC CHURCH POSITION: Volunteer NATURE: Volunteer INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/14/2014 ADDRESS: 501 Holy Trinity Drive, Covington LA 70433, United States DESCRIPTION: Usher at church
CRS (Client Relationship Summary) - RIA
Click below to view Charles Henry Mcloughlin's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Charles Henry Mcloughlin's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
August 2, 2021 - Present
INDEPENDENT FINANCIAL GROUP, LLC
RIA
BD
CRD#: 7717
Covington, LA
Current
August 2, 2021 - Present
INDEPENDENT FINANCIAL GROUP, LLC
RIA
BD
CRD#: 7717
Covington, LA
Past
November 1, 2017 - August 3, 2021
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
COVINGTON, LA
Past
November 1, 2017 - August 3, 2021
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
COVINGTON, LA
Past
July 2, 2017 - November 1, 2017
GIRARD SECURITIES, INC.
RIA
CRD#: 18697
COVINGTON, LA
Past
April 1, 2010 - November 1, 2017
GIRARD SECURITIES, INC.
BD
CRD#: 18697
COVINGTON, LA
Past
October 31, 2005 - April 6, 2010
OSAIC SERVICES, INC.
BD
CRD#: 133763
MANDEVILLE, LA
Past
May 17, 2004 - July 2, 2017
ASSET ONE LLC
RIA
CRD#: 106276
MANDEVILLE, LA
Past
November 18, 1997 - October 31, 2005
SENTRA SECURITIES CORPORATION
BD
CRD#: 10249
PHOENIX, AZ
Past
February 11, 1995 - November 6, 1997
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
October 18, 1994 - November 9, 1994
DORSEY & COMPANY, INC.
BD
CRD#: 1668
NEW ORLEANS, LA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
INDEPENDENT FINANCIAL GROUP, LLC
HAGERTY STEWART & ASSOCIATES LLC | INDEPENDENT FINANCIAL GROUP, LLC | INDEPENDENT FINANCIAL GROUP, INC | IFG FINANCIAL GROUP, LLC | HAGERTY, VAN MOURICK & LOGAN | HAGERTY, STEWART AND ASSOCIATES, INC. | HAGERTY, STEWART & ASSOCIATES, INC.
CRD#: 7717 / SEC#: 801-62667, 8-22870
RIA
Registered Investment Advisory firm - SEC (1/30/2004 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Florida(1/4/2022)
RR
Georgia(8/2/2021)
RR
Idaho(6/25/2024)
RR
Louisiana(8/2/2021)
IAR
Louisiana(8/2/2021)
RR
Massachusetts(7/20/2023)
RR
Mississippi(8/2/2021)
RR
New Mexico(8/2/2021)
RR
Texas(1/4/2022)
IAR
Texas(4/9/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
INDEPENDENT FINANCIAL GROUP, LLC
HAGERTY STEWART & ASSOCIATES LLC | INDEPENDENT FINANCIAL GROUP, LLC | INDEPENDENT FINANCIAL GROUP, INC | IFG FINANCIAL GROUP, LLC | HAGERTY, VAN MOURICK & LOGAN | HAGERTY, STEWART AND ASSOCIATES, INC. | HAGERTY, STEWART & ASSOCIATES, INC.
CRD#: 7717 / SEC#: 801-62667, 8-22870
RIA
Registered Investment Advisory firm - SEC (1/30/2004 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
12671 High Bluff Drive Suite 200, San Diego, CA 92130
Mailing Address
12671 High Bluff Drive Suite 200, San Diego, CA 92130
Phone number
(858) 436-3180
Established
Delaware since 07/09/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
622
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INDEPENDENT FINANCIAL GROUP, INC. | OWNER | |
| DAVIS, SCOTT EARLE | CFO & FINOP | 7160800 |
| DENNEN, BRIAN | CCO BROKERAGE & ADVISORY | 3239786 |
| FISCHER, DAVID ALLEN | MANAGING DIRECTOR | 1634222 |
| HEISING, SCOTT ALLEN | CHIEF EXECUTIVE OFFICER/ MANAGING DIRECTOR | 2192259 |
| KEEFE, KEVIN MICHAEL | PRESIDENT, COO | 1869560 |
| KREISMAN, SARAH JILL | SVP & GENERAL COUNSEL | 2671706 |
| PEARSON, TROY DALE | ROSFP | 2413897 |
Regulatory assets under management
| Total Number of Accounts | 44,046 |
| AUM (Assets Under Management) | $ 11,322,059,063 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 2 |
| Bond | 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.
