Douglas McCauley, financial advisor San Diego CA
49 score

Douglas McCauley

CRD Number: 1257811
Current Firm: Madison Avenue Securities, LLC

Douglas McCauley (CRD# 1257811) is an Investment Advisor Representative working at Madison Avenue Securities, LLC in San Diego, CA and has over 7 years of experience in the finance industry.

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Company Name Location Dates Years
New England Tax Pro, LLC Arlington, VT Feb 2011 - Current 5
Vermont Investment & Insurance Company LLC Arlington, VT Sep 2009 - Current 7
Madison Avenue Securities, Inc. San Diego, CA Mar 2009 - Current 7
Madison Avenue Securities, Inc. Arlington, VT Aug 2008 - Current 8
Mccauley Financial Services Arlington, VT Jul 2009 - Sep 2009 < 1
Seniors Only Financial Of Vt Arlington, VT Nov 1999 - Jun 2009 9
Madison Avenue Advisors, Inc. Arlington, VT Aug 2008 - Mar 2009 < 1
Kalos Management, Inc. Alpharetta, GA Oct 2005 - Aug 2008 2
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination May 2009
S65 NASAA Investment Advisors Law Examination Feb 2009
Disclosure Information

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:
  • Financial Issue
  • Regulatory Event
  • Judgments / Liens
Get Details on the FINRA Advisor Check site
Contact Info for Douglas J. McCauley
Phone Number: 888-627-7323
Firm Website: http://www.mas-bd.com
Registered State(s):
  • CT
  • NC
  • PA
  • VT
By the Numbers
  • Total Assets Under Management
    330
    MILLIONS
  • Total Number of Accounts
    3,611
    ACCOUNTS
  • Average Account Value
    $91,271
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
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
  • Selection of other advisers (including private fund managers)
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, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
49

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