John J. Mclaughlin
Professional summary
John J Mclaughlin, who also goes by John James Mclaughlin III, John James Mclaughlin, John J Mclaughlin III, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in San Marcos, California and CETERA WEALTH SERVICES, LLC located in Dallas, Texas.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. John has worked at 17 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view John J Mclaughlin's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 3200 Olympus Blvd Suite 100, Dallas, TX 75019March 9, 2021 - September 5, 2025
AVANTAX ADVISORY SERVICES
February 11, 2021 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
October 5, 2018 - February 3, 2021
EQUITABLE ADVISORS, LLC
October 5, 2018 - February 3, 2021
EQUITABLE ADVISORS, LLC
July 24, 2018 - October 16, 2018
HORNOR, TOWNSEND & KENT, LLC
July 2, 2018 - October 16, 2018
HORNOR, TOWNSEND & KENT, LLC
November 21, 2017 - March 14, 2018
KINGSWOOD WEALTH ADVISORS, LLC
November 21, 2017 - April 18, 2018
SGMA CAPITAL MARKETS LIMITED
September 21, 2016 - November 10, 2017
PRUCO SECURITIES, LLC.
September 7, 2016 - November 10, 2017
PRUCO SECURITIES, LLC.
November 7, 2013 - March 22, 2016
INDEPENDENT FINANCIAL GROUP, LLC
November 7, 2013 - March 22, 2016
INDEPENDENT FINANCIAL GROUP, LLC
December 3, 2012 - September 18, 2013
HARTFORD FUNDS DISTRIBUTORS, LLC
December 5, 2011 - December 3, 2012
GLOBAL ATLANTIC DISTRIBUTORS, LLC
March 5, 2008 - December 16, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
June 28, 2000 - December 16, 2011
LPL FINANCIAL LLC
June 7, 2000 - December 16, 2011
LPL FINANCIAL LLC
June 1, 1998 - May 16, 2000
AMERIPRISE FINANCIAL SERVICES, LLC
May 29, 1998 - May 16, 2000
IDS LIFE INSURANCE COMPANY
August 4, 1997 - May 8, 1998
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/5/2025)
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Exams
FINRA
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 |
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.
