BM
Brian J. Mccauley
MOLONEY SECURITIES ASSET MANAGEMENT LLC
Louisvile, CO 80027
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CRD#: 1011765
BM
Professional summary
Brian James Mccauley is a registered financial advisor currently at MOLONEY SECURITIES ASSET MANAGEMENT LLC located in Louisvile, Colorado and MOLONEY SECURITIES CO., INC. located in Manchester, Missouri.
Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. Brian has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Brian James Mccauley's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
May 3, 2016 - Present
MOLONEY SECURITIES ASSET MANAGEMENT LLC
Office #1: 668 W. Sagebrush Drive, Louisvile, CO 80027RIA
CRD#: 282448
Louisvile, CO
Current
February 10, 2003 - Present
MOLONEY SECURITIES CO., INC.
Office #1: 13537 Barrett Parkway Drive #300, Manchester, MO 63021BD
CRD#: 38535
Manchester, MO
Past
May 3, 2016 - May 6, 2016
MOLONEY SECURITIES CO., INC.
RIA
CRD#: 38535
Louisville, CO
Past
May 3, 2016 - December 31, 2016
MOLONEY INVESTMENT ADVISORY LLC
RIA
CRD#: 282140
DENVER, CO
Past
December 5, 1990 - February 5, 2003
ROCKY MOUNTAIN SECURITIES & INVESTMENTS, INC.
BD
CRD#: 8350
DENVER, CO
Past
June 6, 1986 - November 23, 1990
THE STUART-JAMES COMPANY, INCORPORATED
BD
CRD#: 11691
DENVER, CO
Past
December 20, 1985 - June 17, 1986
TAMARON INVESTMENTS, INC.
BD
CRD#: 14929
Past
December 18, 1984 - January 1, 1986
FIRST EASTERN SECURITIES CORPORATION
BD
CRD#: 14514
Past
June 18, 1984 - February 15, 1985
CHESLEY AND DUNN, INC.
BD
CRD#: 8362
Past
July 13, 1983 - June 7, 1984
FIRST INTERWEST SECURITIES CORPORATION
BD
CRD#: 13492
Past
November 17, 1981 - June 23, 1983
BLINDER, ROBINSON & CO., INC.
BD
CRD#: 5096
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
MS
MOLONEY SECURITIES ASSET MANAGEMENT LLC
ADVANCED FINANCIAL SOLUTIONS LLC | WESTPORT ADVISORY GROUP, LLC | WARREN FINANCIAL SERVICES | VANCE CAPITAL MANAGEMENT, LLC | TEAM DUNCAN FINANCIAL | SYNERGISTIC FINANCIAL CENTER | SUGAR CREEK ADVISORY GROUP | ST. LOUIS ASSET MANAGEMENT | ST. CROIX CAPITAL MANAGEMENT | SENTINEL WEALTH MANAGEMENT | SALISH WEALTH MANAGEMENT | RUSSELL WEALTH MANAGEMENT | ROYAL ROUTE COMPANY, LLC | PLANNED INVESTMENT COMPANY, INC. | NYE INVESTMENT PLANNERS, INC. | NMG FINANCIAL SERVICES | NETSTREET BROKERAGE | MOLONEY SECURITIES ASSET MANAGEMENT LLC | MINNESOTA VALLEY INVESTMENTS | LITTLEWOOD FINANCIAL SERVICES, LLC | LILLEBERG FINANCIAL GROUP | KEKERIS FINANCIAL GROUP | JCL CAPITAL MANAGEMENT, LLC | INVESTMENT CENTER OF GREENVILLE | INVESTMENT CENTER OF ESTES PARK, INC. | HERITAGE INVESTMENT MANAGEMENT, LLP | GRAND GLAIZE WEALTH MANAGEMENT | CP WEALTH | CHRISTIANSON FINANCIAL ADVISORS LLC | BRIDGES FINANCIAL | ASSET ALLIANCE FINANCIAL WEALTH MANAGEMENT AND PLANNING | ARTISAN ASSET MANAGEMENT, LLC | ARLINGTON FINANCIAL SERVICES
CRD#: 282448 / SEC#: 801-107149
RIA
Registered Investment Advisory firm - (12/31/2015 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alaska(9/7/2017)
RR
Arizona(2/10/2003)
RR
California(2/10/2003)
RR
Colorado(2/10/2003)
IAR
Colorado(5/3/2016)
RR
Connecticut(3/19/2003)
RR
Florida(2/10/2003)
RR
Idaho(9/9/2025)
RR
Illinois(2/10/2003)
RR
Iowa(2/10/2003)
RR
Kansas(6/15/2015)
RR
Kentucky(1/2/2018)
RR
Missouri(1/2/2025)
RR
New Jersey(2/10/2003)
RR
New Mexico(8/27/2004)
RR
New York(1/19/2011)
RR
North Carolina(2/10/2003)
RR
Ohio(2/10/2003)
RR
Oregon(9/7/2017)
RR
South Carolina(9/7/2017)
RR
Texas(12/6/2016)
RR
Utah(2/10/2003)
RR
Washington(7/21/2016)
RR
Wisconsin(1/2/2025)
RR
Wyoming(4/29/2014)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
MS
MOLONEY SECURITIES ASSET MANAGEMENT LLC
ADVANCED FINANCIAL SOLUTIONS LLC | WESTPORT ADVISORY GROUP, LLC | WARREN FINANCIAL SERVICES | VANCE CAPITAL MANAGEMENT, LLC | TEAM DUNCAN FINANCIAL | SYNERGISTIC FINANCIAL CENTER | SUGAR CREEK ADVISORY GROUP | ST. LOUIS ASSET MANAGEMENT | ST. CROIX CAPITAL MANAGEMENT | SENTINEL WEALTH MANAGEMENT | SALISH WEALTH MANAGEMENT | RUSSELL WEALTH MANAGEMENT | ROYAL ROUTE COMPANY, LLC | PLANNED INVESTMENT COMPANY, INC. | NYE INVESTMENT PLANNERS, INC. | NMG FINANCIAL SERVICES | NETSTREET BROKERAGE | MOLONEY SECURITIES ASSET MANAGEMENT LLC | MINNESOTA VALLEY INVESTMENTS | LITTLEWOOD FINANCIAL SERVICES, LLC | LILLEBERG FINANCIAL GROUP | KEKERIS FINANCIAL GROUP | JCL CAPITAL MANAGEMENT, LLC | INVESTMENT CENTER OF GREENVILLE | INVESTMENT CENTER OF ESTES PARK, INC. | HERITAGE INVESTMENT MANAGEMENT, LLP | GRAND GLAIZE WEALTH MANAGEMENT | CP WEALTH | CHRISTIANSON FINANCIAL ADVISORS LLC | BRIDGES FINANCIAL | ASSET ALLIANCE FINANCIAL WEALTH MANAGEMENT AND PLANNING | ARTISAN ASSET MANAGEMENT, LLC | ARLINGTON FINANCIAL SERVICES
CRD#: 282448 / SEC#: 801-107149
RIA
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Contact information
Main Address
13537 Barrett Parkway Drive, Suite 300, Manchester, MO 63021
Mailing Address
Phone number
(314) 909-0600
Established
Firm type
Fiscal year end
# of Employees
77
SEC notice filing (50 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 4,390 |
| AUM (Assets Under Management) | $ 1,389,405,894 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 01/14/2025 | ||
| 12/20/2023 | ||
| 12/22/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
MOLONEY SECURITIES ASSET MANAGEMENT LLC
CRD#: 282448Louisvile, CO 80027TRUST BUT VERIFY
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Contact information
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