JL
JL
James Loughlin
31 Years of Experience
Melville, NY
2 DisclosuresBroker
James Loughlin is a registered investment advisor at Raymond James Financial Services Advisors, INC, based in Melville, NY, with 31 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 508,439 clients with $390B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
6484 advisors
IM Fee
Planning only
Assets Under Management
$390.0B
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Location
445 Broad Hollow Road, Suite 25, Melville, NY, 11747
Get directionsHistory
Regulatory History (2)
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Customer Dispute
April 2017Settled
Customer Dispute
February 2002Denied
Other Business Activities
James works as an independent contractor and financial advisor for Girard Wealth Management. This takes about half of his time.
Employment History
Current Registrations
Raymond James Financial Services Advisors, INC
July 2021 - Present · 4 yrs 10 mos
Raymond James Financial Services, INC.Broker
May 2019 - Present · 7 yrs
Previous Registrations
Securities America, INC.Broker
October 2008 - November 2010 · 2 yrs 1 mo
Ameriprise Financial Services, INC.Broker
August 2008 - May 2019 · 10 yrs 9 mos
Cantella & CO., INC.Broker
August 2008 - August 2008 · 0 mos
Raymond James Financial Services, INC.Broker
October 2002 - August 2008 · 5 yrs 10 mos
Prudential Securities IncorporatedBroker
September 1999 - August 2002 · 2 yrs 11 mos
Painewebber IncorporatedBroker
April 1996 - October 1999 · 3 yrs 6 mos
Prudential Securities IncorporatedBroker
August 1995 - May 1996 · 9 mos
Smith Barney INC.Broker
November 1994 - September 1995 · 10 mos
Kidder, Peabody & CO. IncorporatedBroker
March 1994 - December 1994 · 9 mos
State Registrations12 states
AZCACTFLGAMDMEMONCNJNYPA
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.