John McCauley (CRD# 1275230) is an Investment Advisor Representative working at Mccauley Investments Advisors LLC in Guilford, CT and has over 39 years of experience in the finance industry.
CRD# 2726777
Springboard Asset Management LLC
CRD# 5623606
Citizens Securities, Inc.
CRD# 4288358
Commonwealth Financial Network
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Sterne Agee Investment Advisor Services, Inc. | Birmingham, AL | Jan 2015 - Current | 9 |
| Sterne Agee Financial Services, Inc. | Guliford, CT | Sep 2014 - Current | 9 |
| Mccauley Investment Advisors LLC | Guilford, CT | May 2014 - Current | 9 |
| Wrp Investments, Inc. | Youngstown, OH | Mar 2006 - Current | 18 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | Aug 1984 |
| S65 | NASAA Investment Advisors Law Examination | Dec 1997 |
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, financial matters, and other matters required to be disclosed in which the advisor has been involved.
Get Details on the FINRA Advisor Check site- CT
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Total Assets Under Management9MILLIONS
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Total Number of Accounts48ACCOUNTS
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Average Account Value$191,458
- A percentage of assets under your management
- Hourly charges
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Pension consulting services
- Selection of other advisers (including private fund managers)
CT
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