MM
Mac Mcauliffe
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CRD#: 1029522
MM
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Mac Mcauliffe, who also goes by Raymond J. Mcauliffe, Raymond Joseph Mcauliffe Jr, Raymond Joseph Mcauliffe, was a registered financial professional .
Mac is a previously registered financial professional and started their career in finance in 1982. Mac had worked at 10 firms and has passed the Series 66, Series 65, Series 63, Series 7, Series 6, Series 22, Series 24, Series 39 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Raymond J. Mcauliffe | Raymond Joseph Mcauliffe Jr | Raymond Joseph Mcauliffe
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)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
May 21, 2014 - October 1, 2014
CGN ADVISORS, LLC
RIA
CRD#: 159359
LAS VEGAS, NV
Past
June 28, 2013 - April 15, 2014
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
RIA
CRD#: 2881
LAS VEGAS, NV
Past
March 31, 2005 - June 25, 2013
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
RIA
CRD#: 2881
LAS VEGAS, NV
Past
February 10, 2004 - April 15, 2014
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
MILWAUKEE, WI
Past
July 9, 2002 - February 5, 2004
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
ST. LOUIS, MO
Past
December 31, 2000 - February 25, 2002
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
RADNOR, PA
Past
April 28, 1992 - December 31, 2000
DELAWARE DISTRIBUTORS, L.P.
BD
CRD#: 14232
PHILADELPHIA, PA
Past
November 14, 1988 - April 21, 1992
BOSTON CAPITAL SECURITIES, INC.
BD
CRD#: 14611
BOSTON, MA
Past
September 9, 1986 - May 3, 1988
MADISON MARKETING CORPORATION
BD
CRD#: 17651
Past
August 26, 1986 - September 9, 1986
PSI SECURITIES CORPORATION
BD
CRD#: 10322
Past
February 5, 1986 - August 19, 1986
PSI SECURITIES CORPORATION
BD
CRD#: 10322
Past
February 21, 1985 - January 14, 1986
ANGELES SECURITIES CORPORATION
BD
CRD#: 8083
Past
March 11, 1982 - September 7, 1984
NATIONAL SELECTED SECURITIES CORP.
BD
CRD#: 8299
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".
CGN ADVISORS, LLC
7 SQUARED CAPITAL ADVISORS | WOODHULL CAPITAL ADVISORS | WEALTH PROTECT ADVISORS | WATCHDOG FINANCIAL ADVISORS | VERITAS FINANCIAL CONSULTING | VEO FINANCIAL COUNSEL | UPWARD FINANCIAL PLANNING | UPSTATE FINANCIAL ADVISERS | TRANSVERSE WEALTH SOLUTIONS | T ROWLAND FINANCIAL SERVICES | SYNERGY FINANCIAL PLANNING | SWAN FINANCIAL PLANNING | SUNDIAL FINANCIAL PLANNING | STOWERS FINANCIAL PLANNING | SKS ADVISORY SERVICES | SCHOLAR FINANCIAL | SADDLE VIEW FINANCIAL PLANNING | RIVERMARK WEALTH MANAGEMENT | RIGHT ON THE MONEY FINANCIAL PLANNING | PYXIS FINANCIAL PLANNING | PRESCOTT TOTAL FINANCIAL WELLNESS | PETERSON FINANCIAL PLANNING | PERCEIVE | PEARSON FINANCIAL PLANNING | ONLINEFINANCIALPLAN.NET | NICHOLS FINANCIAL ADVICE | MOORE FAMILY FINANCIAL | MODERN FINANCIAL PLANNING | MLG FINANCIAL PLANNING | LS FINANCIAL PLANNING | LINCE FINANCIAL PLANNING | LENINGTON FINANCIAL | LAKE COUNTRY FINANCIAL PLANNING | KULIG FINANCIAL ADVISORS | KULECK FINANCIAL PLANNING | KASTLER FINANCIAL PLANNING | JEFFREY A. DRAYTON FINANCIAL PLANNING & WEALTH MANAGEMENT | HUEBNER FINANCIAL PLANNING | HICKS FINANCIAL PARTNERS | HAMILTON FINANCIAL PLANNING | HAISTEN FINANCIAL PLANNING | GROWING FORTUNES FINANCIAL PARTNERS | GREEN FINANCIAL PLANNING | GREALISH INVESTMENT COUNSELING | GARRISON/KNIGHT FINANCIAL PLANNING | GARRETT INVESTMENT ADVISORS, LLC | GARDEN FINANCIAL PLANNING | FREEDMAN FINANCIAL PLANNING | FREDRICKSON FINANCIAL PLANNING | FOURTEEN FORTY FINANCIAL PARTNERS | FOUR PONDS FINANCIAL PLANNING | FORERUNNER FINANCIAL PLANNING | FLORES FINANCIAL PLANNING | FINANCIAL FREEDOM WEALTH ADVISORS | FINANCIAL ADVOCATE FOR YOU | FIALKOW FINANCIAL PLANNING | FAIR WINDS FINANCIAL ADVICE | EVA BARBERI FINANCIAL PLANNING | EQUI FINANICAL PLANNING | ENVISAGE FINANCIAL PLANNING | EMPOWERMENT FIDUCIARY | ELEVATE FINANCIAL PLANNING | DEK FINANCIAL SOLUTIONS | CORNERSTONE FINANCIAL PLANNING | COFFEETREE FINANCIAL PLANNING | CHRYSALLIS PERSONAL FINANCIAL ADVISING | CHERYL OBER FINANCIAL PLANNING | CGN ADVISORS, LLC | CGN ADVISORS | BUTTONWOOD ADVISORS | BROOKS FINANCIAL PLANNING | BLUE LANTERN | BINDER FINANCIAL PLANNING | BERNSTEIN PLANNING AND INVESTMENT MANAGEMENT | BELDING FINANCIAL PLANNING | BARBERI FINANCIAL PLANNING | ARGONAUT FINANCIAL PLANNING & INVESTMENT MANAGEMENT | ARCADIA FINANCIAL STRATEGIES | AMITY FINANCIAL ACHIEVEMENTS | ALPHA CLEAR FINANCIAL PLANNING | ALLEGORY ADVISORY | ALL SEASONS WEALTH MANAGEMENT
CRD#: 159359 / SEC#: 801-72913
RIA
Registered Investment Advisory firm - (12/8/2011 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
CGN ADVISORS, LLC
7 SQUARED CAPITAL ADVISORS | WOODHULL CAPITAL ADVISORS | WEALTH PROTECT ADVISORS | WATCHDOG FINANCIAL ADVISORS | VERITAS FINANCIAL CONSULTING | VEO FINANCIAL COUNSEL | UPWARD FINANCIAL PLANNING | UPSTATE FINANCIAL ADVISERS | TRANSVERSE WEALTH SOLUTIONS | T ROWLAND FINANCIAL SERVICES | SYNERGY FINANCIAL PLANNING | SWAN FINANCIAL PLANNING | SUNDIAL FINANCIAL PLANNING | STOWERS FINANCIAL PLANNING | SKS ADVISORY SERVICES | SCHOLAR FINANCIAL | SADDLE VIEW FINANCIAL PLANNING | RIVERMARK WEALTH MANAGEMENT | RIGHT ON THE MONEY FINANCIAL PLANNING | PYXIS FINANCIAL PLANNING | PRESCOTT TOTAL FINANCIAL WELLNESS | PETERSON FINANCIAL PLANNING | PERCEIVE | PEARSON FINANCIAL PLANNING | ONLINEFINANCIALPLAN.NET | NICHOLS FINANCIAL ADVICE | MOORE FAMILY FINANCIAL | MODERN FINANCIAL PLANNING | MLG FINANCIAL PLANNING | LS FINANCIAL PLANNING | LINCE FINANCIAL PLANNING | LENINGTON FINANCIAL | LAKE COUNTRY FINANCIAL PLANNING | KULIG FINANCIAL ADVISORS | KULECK FINANCIAL PLANNING | KASTLER FINANCIAL PLANNING | JEFFREY A. DRAYTON FINANCIAL PLANNING & WEALTH MANAGEMENT | HUEBNER FINANCIAL PLANNING | HICKS FINANCIAL PARTNERS | HAMILTON FINANCIAL PLANNING | HAISTEN FINANCIAL PLANNING | GROWING FORTUNES FINANCIAL PARTNERS | GREEN FINANCIAL PLANNING | GREALISH INVESTMENT COUNSELING | GARRISON/KNIGHT FINANCIAL PLANNING | GARRETT INVESTMENT ADVISORS, LLC | GARDEN FINANCIAL PLANNING | FREEDMAN FINANCIAL PLANNING | FREDRICKSON FINANCIAL PLANNING | FOURTEEN FORTY FINANCIAL PARTNERS | FOUR PONDS FINANCIAL PLANNING | FORERUNNER FINANCIAL PLANNING | FLORES FINANCIAL PLANNING | FINANCIAL FREEDOM WEALTH ADVISORS | FINANCIAL ADVOCATE FOR YOU | FIALKOW FINANCIAL PLANNING | FAIR WINDS FINANCIAL ADVICE | EVA BARBERI FINANCIAL PLANNING | EQUI FINANICAL PLANNING | ENVISAGE FINANCIAL PLANNING | EMPOWERMENT FIDUCIARY | ELEVATE FINANCIAL PLANNING | DEK FINANCIAL SOLUTIONS | CORNERSTONE FINANCIAL PLANNING | COFFEETREE FINANCIAL PLANNING | CHRYSALLIS PERSONAL FINANCIAL ADVISING | CHERYL OBER FINANCIAL PLANNING | CGN ADVISORS, LLC | CGN ADVISORS | BUTTONWOOD ADVISORS | BROOKS FINANCIAL PLANNING | BLUE LANTERN | BINDER FINANCIAL PLANNING | BERNSTEIN PLANNING AND INVESTMENT MANAGEMENT | BELDING FINANCIAL PLANNING | BARBERI FINANCIAL PLANNING | ARGONAUT FINANCIAL PLANNING & INVESTMENT MANAGEMENT | ARCADIA FINANCIAL STRATEGIES | AMITY FINANCIAL ACHIEVEMENTS | ALPHA CLEAR FINANCIAL PLANNING | ALLEGORY ADVISORY | ALL SEASONS WEALTH MANAGEMENT
CRD#: 159359 / SEC#: 801-72913
RIA
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Contact information
Main Address
512 Poyntz Ave Suite 120, Manhattan, KS 66502
Mailing Address
Phone number
(910) 333-6659
Established
Firm type
Fiscal year end
# of Employees
38
SEC notice filing (44 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,609 |
| AUM (Assets Under Management) | $ 1,261,550,096 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
