Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames McLaughlin is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. James has been in the industry since 1997 and is registered with FINRA. James has a Series 7, Series 31 and Series 63 license and a Series 65 license. James has a wide range of experience in financial planning and investment management. James is committed to providing personalized service and helping clients achieve their financial goals. James has a network of resources to draw upon, including a team of experts in investment management, financial planning, and estate planning. James's firm, Merrill Lynch, Pierce, Fenner & Smith Inc. is a large, well-established firm with a long history of providing financial services to individuals and families.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
IL
05/24/2013 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (CHICAGO IL)
IA
Issued 10/20/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/08/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/15/2006
Series 31 - Futures Managed Funds Examination
BC
Issued 09/08/1997
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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