John McLaughlin, financial advisor Olean NY
83 score

John McLaughlin

CRD Number: 1407726
Current Firm: Stifel, Nicolaus & Company, Incorporated

John McLaughlin (CRD# 1407726) is an Investment Advisor Representative working at Stifel, Nicolaus & Company, Incorporated in Olean, NY and has over 31 years of experience in the finance industry.

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Company Name Location Dates Years
Stifel Nicolaus & Co Inc. Olean, NY Jun 2011 - Current 5
Ubs Financial Services Inc. Olean, NY Feb 2007 - Jun 2011 4
Mcdonald Investments Inc. Olean, NY May 1999 - Feb 2007 7
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Oct 1985
S65 NASAA Investment Advisors Law Examination Feb 1996
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:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for John F. McLaughlin
Phone Number: 314-342-2000
Firm Website: http://www.stifel.com
Registered State(s):
  • CA
  • TX
By the Numbers
  • Total Assets Under Management
    38,401
    MILLIONS
  • Total Number of Accounts
    115,441
    ACCOUNTS
  • Average Account Value
    $332,650
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
83

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