Steven McLaughlin, financial advisor Hauppauge NY
73 score

Steven McLaughlin

CRD Number: 1843434
Current Firm: First Empire Asset Management, Inc.

Steven McLaughlin (CRD# 1843434) is an Investment Advisor Representative working at First Empire Asset Management, Inc. in Hauppauge, NY and has over 28 years of experience in the finance industry.

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Company Name Location Dates Years
First Empire Securities, Inc. Hauppauge, NY May 2015 - Current 1
Granite Springs Asset Management, LLC Summit, NJ Jan 2013 - Jun 2015 2
National Alliance Securities, LLC Newark, NJ Jun 2013 - Dec 2014 1
R. Seelaus & Company Summit, NJ Jun 2012 - May 2013 < 1
Municipal Market Advisors Chatham, NJ Jun 2007 - Jun 2012 5
Fcg Advisors Chatham, NJ Jun 2007 - Jun 2012 5
Bny Capital Markets, Inc. New York, NY Feb 2006 - Jun 2007 1
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jun 1988
S66 NASAA Uniform Combined State Law Examination Mar 2011
Disclosure Information

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:
  • Criminal Record
Get Details on the FINRA Advisor Check site
Contact Info for Steven W. McLaughlin
Phone Number: 631-630-2500
Firm Website:
Registered State(s):
  • NJ
By the Numbers
  • Total Assets Under Management
  • Total Number of Accounts
  • Average Account Value
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Portfolio management for businesses (other than small businesses) or institutional clients
Types of Clients
Registered States


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