John McLaughlinCRD Number: 1277214
Current Firm: Northwestern Mutual Investment Services,llc
John McLaughlin (CRD# 1277214) is an Investment Advisor Representative working at Northwestern Mutual Investment Services,llc in Charlotte, NC and has over 24 years of experience in the finance industry. John McLaughlin has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
Prospera Financial Services, Inc.
Dalton Financial LLC
M Holdings Securities, Inc.
|Northwestern Mutual Wealth Management Company||Milwaukee, WI||Apr 2011 - Current||6|
|Northwestrn Mutual Life Insurance||Milwaukee, WI||Dec 1982 - Current||34|
|Northwestern Mutual Investment Services, LLC||Milwaukee, WI||Jun 1990 - Mar 2016||25|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||May 1993|
|S65||NASAA Investment Advisors Law Examination||Dec 1999|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management0MILLIONS
Total Number of Accounts0ACCOUNTS
Average Account Value$0
- Fixed fees (other than subscription fees)
- Selection of other advisers (including private fund managers)
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV