James E. Keene

MCLAUGHLIN ASSET MANAGEMENT

Lafayette, IN 47901

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CRD#: 7903179

Professional summary

James Edward Keene is a registered financial advisor currently at MCLAUGHLIN ASSET MANAGEMENT, INC. located in Lafayette, Indiana.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2024. James has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Edward Keene's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

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

None

Experience

Current

May 1, 2024 - Present

MCLAUGHLIN ASSET MANAGEMENT, INC.

Office #1: 323 Columbia Street Suite 102, Lafayette, IN 47901

RIA

CRD#: 125735

Lafayette, IN

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".

MCLAUGHLIN ASSET MANAGEMENT, INC.

CRD#: 125735 / SEC#: 801-132797

RIA

Registered Investment Advisory firm - (5/22/2025 Approved)

Illinois

Registered Investment Advisory firm - (6/18/2025 Terminated)

Indiana

Registered Investment Advisory firm - (6/19/2025 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Illinois
(5/3/2024)

IAR

Indiana
(5/1/2024)

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 65

Date: 10/31/2023

Uniform Investment Adviser Law Examination

Current Firm

MCLAUGHLIN ASSET MANAGEMENT, INC.

CRD#: 125735 / SEC#: 801-132797

RIA

Registered Investment Advisory firm - (5/22/2025 Approved)

Illinois

Registered Investment Advisory firm - (6/18/2025 Terminated)

Indiana

Registered Investment Advisory firm - (6/19/2025 Terminated)

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Contact information

Main Address

Danville, IL

Mailing Address

1905 U.s. Route 150 Suite E, Danville, IL 61832

Phone number

(217) 442-6484

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART II BROCHURE (8/28/2025)

ADV PART II B (4/16/2025)

Regulatory assets under management

Total Number of Accounts	281
AUM (Assets Under Management)	$ 125,317,842

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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James E. Keene

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Edward Keene's CRS (Customer Relationship Summary).

Certified licenses

Experience

MCLAUGHLIN ASSET MANAGEMENT, INC.

Primary Firm SEC Registration

MCLAUGHLIN ASSET MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/31/2023

Current Firm

MCLAUGHLIN ASSET MANAGEMENT, INC.

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MCLAUGHLIN ASSET MANAGEMENT, INC.

TRUST BUT VERIFY

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