Connie Joyce Mclaughlin

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

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

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2013-03-22
CA	RA	APPROVED	1997-12-31

TX RA
APPROVED_RES

Since 2013-03-22
CA RA
APPROVED

Since 1997-12-31

Branch Locations

Denton, TX • 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

Organization	City	State	From	To
Lpl Financial Llc	Los Alamitos	CA	05/1995	Present

05/1995 → Present

Lpl Financial Llc

Los Alamitos, CA

Other Businesses

1. 7/15/2016 - Thomas E. and Connie J. McLaughlin Family Trust DTD 11/15/1989 - Investment Related - At Reported Business Location(s) - Act in a Fiduciary Capacity - Trustee - Started 11/15/1989 - 2 Hours Per Month During Securities Trading - Family Trust. 2. 11/2/2020 - McLaughlin Financial Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 12/01/2020 - 40 Hours Per Month/36 Hours During Securities Trading.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1994-11-01
S63	Uniform Securities Agent State Law Examination	1982-11-03

S65 Uniform Investment Adviser Law Examination

1994-11-01
S63 Uniform Securities Agent State Law Examination

1982-11-03

Designations

Certified Financial Planner

Other Names

Van Tassel
Constance Mclaughlin
Connie J Vantassel

View on SEC IAPD