Frederick D. 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.
Frederick Daniel Mclaughlin, CFP®, who also goes by Frederick Daniel Mclaughlin IV, Mac Mclaughlin, was a registered financial professional .
Frederick is a previously registered financial professional and started their career in finance in 2016. Frederick had worked at 2 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
Start date: 2020
Experience
April 23, 2021 - January 6, 2026
WELLSPRING FINANCIAL ADVISORS, LLC
April 25, 2016 - September 20, 2016
FIDELITY BROKERAGE SERVICES LLC
Primary Firm SEC Registration
WELLSPRING FINANCIAL ADVISORS, LLC
CRD#: 143112 / SEC#: 801-67630
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
WELLSPRING FINANCIAL ADVISORS, LLC
CRD#: 143112 / SEC#: 801-67630
Contact information
SEC notice filing (8 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,551 |
| AUM (Assets Under Management) | $ 4,211,250,698 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/24/2025 | ||
| 01/28/2025 | ||
| 11/28/2023 |
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.
