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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James mark? Claim Your ProfileJames mark McLaughlin is a financial advisor with over 40 years of experience. James mark is currently registered with Raymond James & Associates, Inc. in Florida, New Jersey, New York, Pennsylvania, and Texas. James mark has previously worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED and PRUDENTIAL SECURITIES INCORPORATED.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Please see note in schedule d - miscellaneous
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
PA
07/02/2007 - Present
Raymond James & Associates, Inc. (Newtown PA)
NJ
06/29/1992 - 07/03/2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (PRINCETON NJ)
NY
03/22/1983 - 06/30/1992
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 02/16/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/06/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/19/2009
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/12/2009
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/07/1985
Series 3 - National Commodity Futures Examination
BC
Issued 03/19/1983
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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