SM
Steven J. Mclaughlin
FTP SECURITIES LLC
San Francisco, CA 94111
Some features on this profile are disabled
CRD#: 2649480
SM
Professional summary
Steven Joseph Mclaughlin, who also goes by Steven Jospeh Mclaughlin, is a registered financial professional currently at FTP SECURITIES LLC located in San Francisco, California.
Steven is registered as a RR (Registered Representative) and started their career in finance in 1995. Steven has worked at 3 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Steven Jospeh Mclaughlin
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Steven Joseph Mclaughlin'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
April 5, 2004 - Present
FTP SECURITIES LLC
Office #1: 100 California Street 7th Floor, San Francisco, CA 94111Office #2: 100 California Street 7th Floor, San Francisco, CA 94111BD
CRD#: 129356
San Francisco, CA
Past
October 9, 2003 - April 12, 2004
SHORELINE PACIFIC, LLC
BD
CRD#: 104417
SAN FRANCISCO, CA
Past
September 6, 1995 - December 18, 2001
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Alabama(7/22/2004)
RR
Alaska(7/15/2004)
RR
Arizona(10/5/2004)
RR
Arkansas(7/8/2004)
RR
California(4/7/2004)
RR
Colorado(6/25/2004)
RR
Connecticut(8/6/2004)
RR
Delaware(8/2/2004)
RR
District of Columbia(8/5/2004)
RR
Florida(7/8/2004)
RR
Georgia(6/18/2004)
RR
Hawaii(9/3/2008)
RR
Idaho(6/23/2004)
RR
Illinois(7/13/2004)
RR
Indiana(9/2/2004)
RR
Iowa(7/15/2004)
RR
Kansas(7/14/2004)
RR
Kentucky(6/28/2004)
RR
Louisiana(8/12/2004)
RR
Maine(7/28/2004)
RR
Maryland(7/6/2004)
RR
Massachusetts(7/16/2004)
RR
Michigan(7/14/2004)
RR
Minnesota(6/23/2004)
RR
Mississippi(6/23/2004)
RR
Missouri(7/14/2004)
RR
Montana(7/9/2004)
RR
Nebraska(7/28/2004)
RR
Nevada(6/23/2004)
RR
New Hampshire(9/10/2008)
RR
New Jersey(2/15/2005)
RR
New Mexico(7/14/2004)
RR
New York(6/28/2004)
RR
North Carolina(7/23/2004)
RR
North Dakota(8/16/2004)
RR
Ohio(7/9/2004)
RR
Oklahoma(6/25/2004)
RR
Oregon(8/2/2004)
RR
Pennsylvania(7/9/2004)
RR
Puerto Rico(8/17/2004)
RR
Rhode Island(1/4/2005)
RR
South Carolina(7/12/2004)
RR
South Dakota(6/24/2004)
RR
Tennessee(3/16/2005)
RR
Texas(8/4/2004)
RR
Utah(6/24/2004)
RR
Vermont(7/20/2004)
RR
Virginia(6/29/2004)
RR
Washington(6/23/2004)
RR
West Virginia(6/23/2004)
RR
Wisconsin(8/10/2004)
RR
Wyoming(7/6/2004)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
FS
FTP SECURITIES LLC
FTP SECURITIES LLC
CRD#: 129356 / SEC#: , 8-66218
BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
100 California Street 7th Floor, San Francisco, CA 94111
Mailing Address
100 California Street 7th Floor, San Francisco, CA 94111
Phone number
(415) 512-8700
Established
Delaware since 06/05/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
Documents
Disclosures
| Regulatory Event | 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.
