Thomas McCauleyCRD Number: 3178068
Current Firm: Kovack Advisors, Inc.
Thomas McCauley (CRD# 3178068) is an Investment Advisor Representative working at Kovack Advisors, Inc. in Paola, KS and has over 19 years of experience in the finance industry.
Searcy Financial Services, Inc.
Cambridge Investment Research Advisors, Inc.
Searcy Financial Services, Inc.
|Kovack Advisors, Inc.||Fort Lauderdale, FL||Jul 2016 - Current||1|
|Kovack Securities, Inc.||Fort Lauderdale, FL||Jul 2016 - Current||1|
|Mccauley Financial Services||Paola, KS||Feb 2010 - Current||8|
|Vsr Financial Services, Inc.||Overland Park, KS||May 2015 - Jul 2016||1|
|Vsr Advisory Services||Overland Park, KS||May 2015 - Jul 2016||1|
|Raymond James Financial Services Advisors, Inc.||Paola, KS||Apr 2009 - May 2015||6|
|Raymond James Financial Services, Inc.||Paola, KS||Apr 2009 - May 2015||6|
|Ameriprise Financial Services Inc.||Springfield, MO||Apr 2009 - Apr 2009||< 1|
|Raymond James Financial Services Advisors, Inc.||Saint Petersburg, FL||Jan 2009 - Apr 2009||< 1|
|Raymond James Financial Services||Paola, KS||May 2002 - Apr 2009||6|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Apr 1999|
|S65||NASAA Investment Advisors Law Examination||Apr 1999|
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, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Employer Dispute
- Customer Dispute
- Judgments / Liens
Total Assets Under Management1,691MILLIONS
Total Number of Accounts7,904ACCOUNTS
Average Account Value$213,912
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisers (including private fund managers)
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, VI, VT, WA, WI, WV
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