Timothy R. 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.
Timothy Richard Mclaughlin was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 2004. Timothy had worked at 5 firms and has passed the Series 63, 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
April 13, 2015 - December 23, 2016
HCFP/CAPITAL MARKETS LLC
July 27, 2010 - April 8, 2015
AURIGA USA, LLC
October 22, 2009 - June 17, 2010
MISSION CAPITAL LLC
November 7, 2005 - October 19, 2006
NOMURA SECURITIES INTERNATIONAL, INC.
July 23, 2004 - November 1, 2005
NATIXIS SECURITIES NORTH AMERICA 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
Current Firm
HCFP/CAPITAL MARKETS LLC
CRD#: 149111 / SEC#: , 8-68107
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KATZ, MARIE | FINANCIAL AND OPERATIONS PRINCIPAL AND CCO | 2457660 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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