Glen Mclaughlin

BUOYANT FINANCIAL

Charlotte, NC

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CRD#: 3074883

Professional summary

Glen Mclaughlin, who also goes by Glen Allen Mclaughlin III, is a registered financial advisor currently at BUOYANT FINANCIAL located in Charlotte, North Carolina.

Glen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Glen has worked at 3 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Glen Allen Mclaughlin Iii

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Glen 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®

None

Experience

Current

September 19, 2017 - Present

BUOYANT FINANCIAL

RIA

CRD#: 289156

Charlotte, NC

Past

October 6, 1999 - December 31, 2003

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

NEW YORK, NY

Past

July 27, 1998 - October 6, 1999

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

BOSTON, MA

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.

Highlighted states indicate IAR registrations

IAR

North Carolina
(9/19/2017)

IAR

Texas
(2/5/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/29/2017

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/25/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/22/1998

General Securities Representative Examination

Current Firm

BUOYANT FINANCIAL

BUOYANT FINANCIAL | BUOYANT FINANCIAL, LLC

CRD#: 289156 / SEC#:

North Carolina

Registered Investment Advisory firm - (9/19/2017 Approved)

Texas

Registered Investment Advisory firm - (2/1/2018 Conditional Restricted)

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Contact information

Main Address

Charlotte, NC

Mailing Address

2108 South Blvd. Suite 211, Charlotte, NC 28203

Phone number

(704) 756-0315

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	74
AUM (Assets Under Management)	$ 23,510,545

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.

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Firm Stability Insights

Glen Mclaughlin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Glen Mclaughlin's CRS (Customer Relationship Summary).

Certified licenses

Experience

BUOYANT FINANCIAL

BANC OF AMERICA SECURITIES LLC

BANC OF AMERICA INVESTMENT SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/29/2017

Series 63

Date: 7/25/1998

Series 7

Date: 7/22/1998

Current Firm

BUOYANT FINANCIAL

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

BUOYANT FINANCIAL

TRUST BUT VERIFY

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