David A. Mclaughlin
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.
David Alan Mclaughlin, who also goes by David Mclaughlin, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1998. David had worked at 4 firms and has passed the Series 63, Series 7TO, 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
October 12, 2012 - September 14, 2021
FIRST CITIZENS CAPITAL SECURITIES, LLC
April 11, 2001 - September 27, 2012
BARCLAYS CAPITAL INC.
January 13, 2001 - June 1, 2001
DEUTSCHE BANK SECURITIES INC.
August 12, 1998 - January 13, 2001
DB ALEX. BROWN LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 7/10/2022
General Securities Representative ExaminationCurrent Firm
FIRST CITIZENS CAPITAL SECURITIES, LLC
CRD#: 41504 / SEC#: , 8-49466
Contact information
FINRA licenses (49 States and Territories)
Documents
Red Flags
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