Bernard E. 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.
Bernard Edward Mclaughlin JR, who also goes by Bud Mclaughlin Jr, was a registered financial professional .
Bernard is a previously registered financial professional and started their career in finance in 1968. Bernard had worked at 12 firms and has passed the Series 63, Series 7TO, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 9, 2001 - September 17, 2021
STIFEL INDEPENDENT ADVISORS, LLC
October 14, 1999 - July 9, 2001
THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.
July 2, 1999 - October 18, 1999
MILLER JOHNSON STEICHEN KINNARD, INC.
May 11, 1998 - June 3, 1999
WELLS FARGO CLEARING SERVICES, LLC
September 19, 1997 - May 11, 1998
PRINCIPAL FINANCIAL SECURITIES,INC.
March 21, 1995 - September 23, 1997
MJK CLEARING, INC.
September 1, 1994 - March 21, 1995
PRINCIPAL FINANCIAL SECURITIES,INC.
July 19, 1993 - September 1, 1994
HAMILTON INVESTMENTS, INC.
October 26, 1984 - July 19, 1993
CRAIG-HALLUM, INC.
November 10, 1981 - October 15, 1984
COLLIERS SECURITIES LLC
November 3, 1977 - September 4, 1981
PAGEL INC.
September 27, 1974 - November 24, 1977
CRAIG-HALLUM, INC.
January 28, 1971 - November 25, 1974
MARGOLIS & CO., INC.
September 20, 1968 - February 25, 1971
DENIS MCCAULEY & COMPANY INC
Primary Firm SEC Registration
STIFEL INDEPENDENT ADVISORS, LLC
CRD#: 28218 / SEC#: 801-43561, 8-43514
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 2/29/1968
Registered Representative ExaminationCurrent Firm
STIFEL INDEPENDENT ADVISORS, LLC
CRD#: 28218 / SEC#: 801-43561, 8-43514
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STIFEL FINANCIAL CORP. | OWNER-HOLDING COMPANY OWNING 100% | |
| KRUSZEWSKI, RONALD JAMES | CHAIRMAN, STIFEL FINANCIAL | 1434827 |
| BRAUTIGAM, ALLEN COR | PRESIDENT AND CEO | 2400179 |
| BRIGHT, GEOFFREY CLYDE JR | CHIEF COMPLIANCE OFFICER | 4696103 |
| DODSON, CHARLES EDWARD | CCO-ADVISORY SERVICES | 1744430 |
| FISHER, MARK PHILIP | GENERAL COUNSEL | 4970942 |
| MELINGER, ADAM SCOTT | ROSFP | 2373020 |
| NOLL, DOUGLAS WAYNE | PRINCIPAL OPERATIONS OFFICER | 1614129 |
| ROWAN, JAMES FRANCIS | PRINCIPAL FINANCIAL OFFICER | 1976998 |
| ZEMLYAK, JAMES MARK | MANAGER, BOARD OF MANAGERS | 1586132 |
Regulatory assets under management
| Total Number of Accounts | 11,648 |
| AUM (Assets Under Management) | $ 4,379,138,273 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/20/2024 | ||
| 09/28/2023 | ||
| 11/28/2022 |
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.
