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Casey Mclaughlin

LPL Financial LLC
42 Years of Experience
Waterloo, IA
1 DisclosureBroker
View SEC Summary
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Casey Mclaughlin is a registered investment advisor at LPL Financial LLC, based in Waterloo, IA, with 42 years of industry experience. Casey is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 1,986,990 clients with $820B in assets under management.

LPL Financial LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
28221 advisors
Number of Clients
1,986,990 clients
Average Client Portfolio
$412K average
Assets Under Management
$819.1B

Fee Structure

Minimum Investment:$1K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

The maximum account fee is 2.50% and is negotiable between the client and the advisor. Fees are based on total assets in the account and payable quarterly in advance.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

621 Grant Ave, Waterloo, IA, 50702-2111

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
December 1988
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Casey operates under the DBA McLaughlin Investment Services since 2006. Casey is also a notary public, dedicating minimal time to this activity.

Employment History
Current Registrations
LPL Financial LLC
June 2000 - Present · 26 yrs 4 mos
LPL Financial LLCBroker
May 2000 - Present · 26 yrs 5 mos
Previous Registrations
Dain Rauscher IncorporatedBroker
March 1998 - May 2000 · 2 yrs 2 mos
Dain Rauscher IncorporatedBroker
August 1997 - March 1998 · 7 mos
Dain Rauscher IncorporatedBroker
July 1990 - March 1998 · 7 yrs 8 mos
Lehman Brothers INC.Broker
May 1984 - August 1990 · 6 yrs 3 mos
State Registrations13 states
AZCOFLIAILKSMNMOMTNCPATXWI
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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