James P. 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.
James Patrick Mclaughlin, who also goes by James Patrick Mclaughlin Jr, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1978. 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 9, 2015 - May 26, 2015
INDEPENDENT INVESTMENT BANKERS, CORP.
April 1, 2013 - April 9, 2013
SECURITY RESEARCH ASSOCIATES, INC.
June 29, 2009 - December 9, 2010
CAZENAVE AND CO., INC.
July 11, 2003 - September 10, 2004
LEGEND MERCHANT GROUP, INC.
June 20, 2001 - December 18, 2001
RUMSON CAPITAL, LLC
July 10, 1992 - November 23, 2004
MCLAUGHLIN CAPITAL MARKETS, INC.
May 9, 1991 - August 6, 1992
GLOBAL STRATEGIES GROUP, INC.
April 26, 1991 - May 9, 1991
PRUDENTIAL EQUITY GROUP, LLC
May 2, 1990 - March 13, 1991
GILFORD SECURITIES INCORPORATED
March 2, 1990 - May 4, 1990
J.P. MORGAN SECURITIES LLC
May 1, 1989 - March 9, 1990
LEHMAN BROTHERS INC.
April 6, 1982 - May 6, 1989
J.P. MORGAN SECURITIES LLC
August 25, 1978 - May 13, 1982
MORGAN STANLEY DW 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
Series 62
Date: 9/25/2010
Corporate Securities Limited Representative ExaminationCurrent Firm
INDEPENDENT INVESTMENT BANKERS, CORP.
CRD#: 154134 / SEC#: , 8-68609
Contact information
FINRA licenses (51 States and Territories)
Red Flags
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