James Cecil Mclaughlin
Professional Summary
James Cecil Mclaughlin is a registered financial advisor currently at ANVIK ADVISERS LLC located in Mill Valley, California. James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1976. James has worked at 3 firms and has passed the Series 66, Series 63 and Series 40 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
50 years in the financial services industry
Current & Past Employments
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Current Firm
ANVIK ADVISERS LLC
Contact Information
Main Address
Mill Valley, CAPhone Number
(415) 888-8990# of Employees
1Documents
Regulatory Assets Under Management
Total Number of Accounts
6AUM (Assets Under Management)
$27,000,000Similar Advisors
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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.
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State Registrations and Notice Filings
(8/18/2010)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 40 — Registered Principal Examination
Passed Jun 1976Similar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view James Cecil Mclaughlin's CRS (Customer Relationship Summary).
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