Thomas C. Cook
Professional summary
Thomas Claude Cook, AIF®, who also goes by Tom Cook, is a registered financial advisor currently at MCCAULEY INVESTMENT ADVISORY, LLC located in Show Low, Arizona.
Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1990. Thomas has worked at 9 firms and has passed the Series 65, Series 63, Series 7, Series 22, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Claude Cook's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 21, 2013 - Present
MCCAULEY INVESTMENT ADVISORY, LLC
June 27, 2012 - March 26, 2013
PIONEER ADVISORS, LLC
February 11, 2011 - October 1, 2012
AUSDAL FINANCIAL PARTNERS, INC.
February 11, 2011 - October 1, 2012
AUSDAL FINANCIAL PARTNERS, INC.
July 2, 2002 - September 25, 2003
TCG ADVISORS, LP
February 15, 2002 - February 11, 2011
QA3 FINANCIAL LLC
January 2, 2002 - February 11, 2011
QA3 FINANCIAL CORP.
December 21, 1998 - December 17, 2001
SECURITIES AMERICA, INC.
November 25, 1991 - December 11, 1998
SUNAMERICA SECURITIES, INC.
October 29, 1990 - November 20, 1991
SECURITIES AMERICA, INC.
May 29, 1990 - November 5, 1990
LEGEND CAPITAL CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(2/21/2013)
(3/7/2024)
(6/23/2015)
Exams
Current Firm
MCCAULEY INVESTMENT ADVISORY, LLC
CRD#: 166035 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 68 |
| AUM (Assets Under Management) | $ 77,407,000 |
Red Flags
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