James J. 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.
James Joseph Mclaughlin SR, who also goes by James Joseph Mclaughlin, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1971. James had worked at 5 firms and has passed the Series 63, SIE, Series 41, Series 1, Series 40 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 21, 2009 - September 18, 2015
HEROLD & LANTERN INVESTMENTS, INC.
May 24, 1977 - December 31, 2008
MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.
May 19, 1977 - June 12, 1977
BAIRD, PATRICK & CO., INC.
April 1, 1976 - August 31, 1979
RICHARD FRANKLIN, INC.
December 1, 1971 - April 10, 1972
UMIC, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 41
Date: 11/27/1981
NYSE Allied Member ExaminationSeries 1
Date: 3/11/1970
Registered Representative ExaminationSeries 40
Date: 3/25/1976
Registered Principal ExaminationSeries 00
Date: 11/29/1971
General Securities Principal ExaminationCurrent Firm
HEROLD & LANTERN INVESTMENTS, INC.
CRD#: 30996 / SEC#: , 8-45285
Contact information
FINRA licenses (51 States and Territories)
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.
