Patrick E. Laughlin
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.
Patrick Edward Laughlin was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1981. Patrick had worked at 4 firms and has passed the Series 63 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 11, 1991 - December 31, 1993
BIRCHTREE FINANCIAL SERVICES LLC
September 11, 1987 - December 31, 1990
GENERAL SECURITIES CORP
February 22, 1984 - August 29, 1987
VSR FINANCIAL SERVICES, INC.
June 5, 1981 - March 22, 1984
WZW FINANCIAL SERVICES, 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
BIRCHTREE FINANCIAL SERVICES LLC
CRD#: 15014 / SEC#: , 8-31632
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
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.
