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Derek Joseph Mclaughlin

Commonwealth Financial Network

Glendale, CA

CRD 5628864

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Employer firm

Commonwealth Financial Network CRD 8032

$213B regulatory AUM 20,450 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers
Commonwealth Financial Network

275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2018-04-24
  • CA RA
    APPROVED
    Since 2018-04-24

Branch Locations

330 North Brand Blvd Suite 910, Glendale, CA 91203 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Advisory Group West Glendale CA 12/2009 11/2019
Commonwealth Financial Network Waltham MA 05/2010 11/2019
Advisory Group West Glendale CA 11/2019 Present
Commonwealth Financial Network Waltham MA 11/2019 Present
Other Businesses

FIXED INSURANCE SALES UNDER ADVISORY GROUP WEST; INVESTMENT RELATED; CONDUCTED AT BRANCH LOCATION.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-01-06
S63 Uniform Securities Agent State Law Examination 2009-04-03
  • S65 Uniform Investment Adviser Law Examination
    2016-01-06
  • S63 Uniform Securities Agent State Law Examination
    2009-04-03
Designations
  • Certified Financial Planner

View on SEC IAPD

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