Robert T. 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.
Robert Toy Mclaughlin, who also goes by Bob Mclaughlin, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1980. Robert had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 52, Series 62, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 31, 2014 - December 26, 2014
AMERIPRISE FINANCIAL SERVICES, LLC
January 31, 2014 - December 26, 2014
AMERIPRISE FINANCIAL SERVICES, LLC
June 6, 2012 - February 14, 2014
FIRST ALLIED ADVISORY SERVICES, INC.
May 31, 2011 - July 2, 2012
FIRST ALLIED SECURITIES, INC.
May 31, 2011 - February 5, 2014
FIRST ALLIED SECURITIES, INC.
March 9, 2007 - June 1, 2011
INVESTORS CAPITAL CORP.
March 9, 2007 - June 1, 2011
INVESTORS CAPITAL CORP.
January 1, 2004 - March 16, 2007
CETERA ADVISORS LLC
January 1, 2004 - March 16, 2007
CETERA ADVISORS LLC
March 1, 2000 - January 1, 2004
IFG ADVISORY SERVICES INC
February 9, 2000 - January 2, 2004
IFG NETWORK SECURITIES, INC.
October 13, 1992 - February 14, 2000
OSAIC WEALTH, INC.
August 8, 1983 - December 1, 1992
VERAVEST INVESTMENTS, INC.
August 1, 1980 - July 28, 1983
AMERICAN EXPRESS FINANCIAL CORPORATION
August 1, 1980 - July 28, 1983
AMERIPRISE FINANCIAL SERVICES, LLC
August 1, 1980 - July 28, 1983
IDS LIFE INSURANCE COMPANY
Primary Firm SEC Registration
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
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 62
Date: 10/11/1994
Corporate Securities Limited Representative ExaminationSeries 1
Date: 7/22/1980
Registered Representative ExaminationCurrent Firm
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMPF HOLDING, LLC | SHAREHOLDER | |
| DOREN, MITCHELL DAVID | REGION VICE PRESIDENT (TEXAS DESIGNATED OFFICER) | 2129844 |
| FLEMING, JOSEPH DANIEL | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 2093776 |
| MATTOX, MICHAEL SCOTT | VICE PRESIDENT - CONTROLLER, INTERIM CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER | 4383501 |
| O'CONNELL, PATRICK HUGH | DIRECTOR, EXECUTIVE VICE PRESIDENT-FIELD MANAGEMENT | 2246285 |
| SENNE, ANN MARIE | EXECUTIVE VICE PRESIDENT - WEALTH MANAGEMENT SOLUTIONS | 2515669 |
| SWEENEY, JOSEPH EDWARD | PRESIDENT, CHAIRMAN AND CHIEF EXECUTIVE OFFICER | 4668713 |
| WILLIAMS, WILLIAM JERRYL | EXECUTIVE VICE PRESIDENT- AMERIPRISE FINANCIAL GROUP & AMERIPRISE ADVISOR CENTER | 1954117 |
Regulatory assets under management
| Total Number of Accounts | 2,281,153 |
| AUM (Assets Under Management) | $ 564,622,896,919 |
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 103 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/19/2025 | ||
| 09/23/2024 | ||
| 10/24/2023 | ||
| 12/16/2022 |
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.
