Brian S. Mcguigan

MCGUIGAN FINANCIAL

Wolfeboro, NH

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CRD#: 4008326

Professional summary

Brian Shannon Mcguigan, CFP®, who also goes by Brian S Mcguigan, is a registered financial advisor currently at MCGUIGAN FINANCIAL, LLC located in Wolfeboro, New Hampshire and LPL FINANCIAL LLC located in Wolfeboro, New Hampshire.

Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Brian has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Brian S Mcguigan

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.

1) 01/02/2020 - McGuigan Financial - Inv. Related - Amherst NH - Registered Investment Advisor Hybrid - Start Date:12/14/2018 - 200 Hrs/Mth - 130 Hrs During Trading. I provide investment advisory services through McGuigan Financial, LLC, an independent investment advisor firm. I started this business activity in 01/2020. I expect to spend approximately 200 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Shannon Mcguigan'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®

CFP^®

Certified Financial Planner

Start date: 2013

Experience

Current

December 14, 2018 - Present

MCGUIGAN FINANCIAL, LLC

RIA

CRD#: 299624

Wolfeboro, NH

Current

June 7, 2016 - Present

LPL FINANCIAL LLC

RIA

CRD#: 6413

WOLFEBORO, NH

Past

June 13, 2016 - December 27, 2018

FLAGSHIP HARBOR ADVISORS, LLC

RIA

CRD#: 155733

AMHERST, NH

Past

January 26, 2007 - June 9, 2016

EDWARD JONES

RIA

CRD#: 250

AMHERST, NH

Past

October 26, 1999 - June 9, 2016

EDWARD JONES

CRD#: 250

AMHERST, NH

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.

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

Florida
(1/13/2025)

Maryland
(5/4/2023)

Massachusetts
(6/8/2016)

IAR

Massachusetts
(2/11/2019)

New Hampshire
(6/7/2016)

IAR

New Hampshire
(12/14/2018)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/18/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/27/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/25/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/8/1999

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

MCGUIGAN FINANCIAL, LLC

CRD#: 299624 / SEC#:

Massachusetts

Registered Investment Advisory firm - (2/11/2019 Approved)

New Hampshire

Registered Investment Advisory firm - (12/14/2018 Approved)

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Contact information

Main Address

Wolfeboro, NH

Mailing Address

Phone number

(603) 249-6535

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	275
AUM (Assets Under Management)	$ 71,577,051

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

Brian S. Mcguigan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Shannon Mcguigan's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

FLAGSHIP HARBOR ADVISORS, LLC

EDWARD JONES

EDWARD JONES

State Registrations and Notice Filings

Exams

Series 66

Date: 1/18/2007

Series 63

Date: 10/27/1999

SIE

Date: 10/1/2018

Series 7

Date: 10/25/1999

Series 24

Date: 11/8/1999

FINRA

Current Firm

MCGUIGAN FINANCIAL, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

MCGUIGAN FINANCIAL, LLC

TRUST BUT VERIFY

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