James Patrick Mclaughlin
Professional Summary
James Patrick Mclaughlin, who also goes by James Patrick Mclaughlin Jr, was a registered financial advisor. James was a previously registered financial professional and started their career in finance 1978 - 2015. James had worked at 12 firms and has passed the Series 63, SIE, Series 62, Series 22, Series 7, Series 24 and Series 39 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
James Patrick Mclaughlin Jr
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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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
48 years in the financial services industry
Current & Past Employments
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Current Firm
INDEPENDENT INVESTMENT BANKERS CORP. | INDEPENDENT INVESTMENT BANKERS, CORP.
Contact Information
Main Address
11801 Domain Blvd 3rd Floor, Austin, TX 78758Mailing Address
2900 North Quinlan Park Rd. Suite# 240-235, Austin, TX 78732Phone Number
(512) 266-3000Established
Delaware since 04/07/2010Firm Type
CorporationFiscal Year End
DecemberFirm Size
Small# of Employees
6FINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
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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
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 62 — Corporate Securities Limited Representative Examination
Passed Sep 2010Series 22 — Direct Participation Programs Representative Examination
Passed Jun 2009About the Series 22 examSeries 39 — Direct Participation Programs Principal Examination
Passed Sep 2009About the Series 39 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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