Charles Cauley, financial advisor Irving TX

Charles Cauley

CRD Number: 4327918
Current Firm: Avantax Advisory Services

Charles Cauley (CRD# 4327918) is an Investment Advisor Representative working at Avantax Advisory Services in Irving, TX and has over 23 years of experience in the finance industry. Charles Cauley has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Avantax Advisory Services Dublin, GA Oct 2019 - Current 4
Avantax Investment Services, Inc. Dublin, GA Oct 2019 - Current 4
Nichols, Cauley & Associates, LLC Dublin, GA Jan 2001 - Current 23
1st Global Capital Corp. Dublin, GA Jun 2006 - Oct 2019 13
1st Global Advisors, Inc. Dublin, GA Jun 2006 - Oct 2019 13
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Feb 2001
Contact Info for Charles M. Cauley
Phone Number: 972-870-6000
Registered State(s):
  • GA
By the Numbers
  • Total Assets Under Management
    30,968
    MILLIONS
  • Total Number of Accounts
    123,393
    ACCOUNTS
  • Average Account Value
    $250,972
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, 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, VT, WA, WI, WV, WY

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