Michael J. Mclauchlan

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CRD#: 4991892

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.

Michael James Mclauchlan, CIMA®, who also goes by Michael Mclauchlan, was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 2005. Michael had worked at 6 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Michael Mclauchlan

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)BRADEN RIVER SOCCER CLUB; NOT INVESTMENT RELATED; 5490 LAKEWOOD RANCH BLVD, BRADENTON, FL 34202; SOCCER TEAM; SOCCER COACH; START: 03/2018; 8HRS/MO NOT DURING TRADING HOURS; SOCCER COACH. (2)WILL EVANS MUSIC; NOT INVESTMENT RELATED; 8 TIDEWINDS LANE, WESTERLY, RI 02891; MUSICIAN; EXECUTIVE PRODUCER; START: 01/2019; NONE; NONE. (3) BRADEN RIVER SOCCER CLUB; NOT INVESTMENT RELATED; 5490 LAKEWOOD RANCH BLVD, BRADENTON, FL 34202, USA; YOUTH SOCCER CLUB; EXECUTIVE BOARD MEMBER; START: 06/2021; 02HRS/MO, NOT DURING TRADING HOURS; PROMOTE THE DEVELOPMENT AND WELFARE OF THE YOUTH AND ADULTS INVOLVED IN YOUTH SOCCER. SUB-COMMITTEES:- MARKETING & COMMUNICATION COMMITTEE: RESPONSIBLE FOR CRAFTING, UPDATING, AND OVERSEEING THE STRATEGIC MARKETING PLAN TO MAINTAIN THE INTEGRITY OF BRSC WHEN PROMOTING THE ORGANIZATION'S MISSION; AND DEVELOPING THE ORGANIZATION'S MARKETING MESSAGE TO ENHANCE AWARENESS AND BRANDING. BACK-OF-THE-NET COMMITTEE (NON-TOURNAMENT EVENTS): RESPONSIBLE FOR COORDINATING, PROMOTING, AND OVERSEEING BRSC SPONSORED EVENTS.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CIMA^®

Certified Investment Management Analyst

Experience

Past

September 15, 2014 - May 13, 2024

INVESCO ADVISERS, INC.

RIA

CRD#: 105360

LAKEWOOD RANCH, FL

Past

September 12, 2014 - May 13, 2024

INVESCO DISTRIBUTORS, INC.

CRD#: 7369

HOUSTON, TX

Past

March 4, 2014 - September 9, 2014

GUGGENHEIM INVESTMENTS

RIA

CRD#: 105477

LAKEWOOD RANCH, FL

Past

June 19, 2006 - November 4, 2008

GUGGENHEIM INVESTMENTS

RIA

CRD#: 129288

LISLE, IL

Past

June 19, 2006 - September 9, 2014

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

CRD#: 39805

GENEVA, IL

Past

September 19, 2005 - June 14, 2006

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

OAK BROOK, IL

Past

August 24, 2005 - June 14, 2006

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

INVESCO ADVISERS, INC.

INVESCO ADVISERS, INC. | INVESCO, INC | INVESCO INSTITUTIONAL (N.A.), INC.

CRD#: 105360 / SEC#: 801-33949

RIA

Registered Investment Advisory firm - (12/30/1988 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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 66

Date: 9/16/2005

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 9/27/2005

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 8/23/2005

General Securities Representative Examination

Current Firm

INVESCO ADVISERS, INC.

INVESCO ADVISERS, INC. | INVESCO, INC | INVESCO INSTITUTIONAL (N.A.), INC.

CRD#: 105360 / SEC#: 801-33949

RIA

Registered Investment Advisory firm - (12/30/1988 Approved)

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Contact information

Main Address

1331 Spring Street Nw Suite 2500, Atlanta, GA 30309

Mailing Address

11 Greenway Plaza Suite 1000, Houston, TX 77046

Phone number

(404) 892-0896

Established

Firm type

Fiscal year end

# of Employees

2,872

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

INVESCO ADVISERS, INC. FIRM BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	61,236
AUM (Assets Under Management)	$ 756,881,223,229

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/27/2024	Cover Page	Report
10/27/2023	Cover Page	Report

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

Michael J. Mclauchlan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

INVESCO DISTRIBUTORS, INC.

GUGGENHEIM INVESTMENTS

GUGGENHEIM INVESTMENTS

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

INVESCO ADVISERS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/16/2005

SIE

Date: 10/1/2018

Series 31

Date: 9/27/2005

Series 7

Date: 8/23/2005

Current Firm

INVESCO ADVISERS, INC.

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

INVESCO ADVISERS, INC.

TRUST BUT VERIFY

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