John D. Caffrey

COMPOSITION WEALTH

Hauppauge, NY

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CRD#: 1170527

Professional summary

John David Caffrey JR, CFP®, who also goes by John David Caffrey, is a registered financial advisor currently at COMPOSITION WEALTH, LLC located in Hauppauge, New York.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. John has worked at 7 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 6 exams.

Question & Answer

What are your service offerings?

Investment Planning

Insurance Planning

Comprehensive Financial Planni...

Retirement Planning

Estate Planning

Employee and Employer Plan Ben...

Tax Planning

Are you a "fiduciary"?

Yes

Aliases

John David Caffrey

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.

1) 145 MARCUS REALTY, LLC-ENTERING INTO A LEASE AGREEMENT WITH AN OPTION TO BUY THE BUILDING AT 145 MARCUS BLVD., HAUPPAUGE NY, 33% MEMBER-4 HOURS A MONTH. 2) 201-205 SOUTH OCEAN REALTY LLC. NOT INVESTMENT RELATED; HAUPPAUGE, NY 11788. REAL ESTATE MANAGEMENT 43% MEMBER. START DATE 1/2014. 10 HOURS PER MONTH, 0 DURING TRADING. REAL ESTATE MANAGEMENT, INVESTOR. 3) AMAC FOUNDATION, INC, 312 TEGUE TRAIL, LADY LAKE, FL 32159. NOT INVESTMENT RELATED, BOARD MEMBER 7/2014-PRESENT, 1 HOUR/QUARTER, NONE DURING TRADING. DEVELOP BUSINESS PLANS, EDUCATION OF FOUNDATION MEMBERS ON FINANCIAL STATEMENT PREPARATION AND UNDERSTANDING. 4) Insurance Sales; Same address; Non-investment related; Approximately 10% of time during the month. 5) Castle Asset Management, LLC; Non-Investment Related; 145 Marcus Blvd, Hauppauge, NY. 11788; Insurance commissions; Owner; 08/2004; 5 hours per month; Business Administration.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John David Caffrey JR's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 1988

Experience

Current

November 24, 2021 - Present

COMPOSITION WEALTH, LLC

RIA

CRD#: 143483

Hauppauge, NY

Past

November 13, 2015 - December 31, 2017

ROSEMARK ADVISORS, INC.

RIA

CRD#: 173677

HAUPPAUGE, NY

Past

March 21, 2012 - December 22, 2021

CASTLE ASSET MANAGEMENT, LLC

RIA

CRD#: 131910

HAUPPAUGE, NY

Past

November 16, 2005 - December 15, 2021

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

HAUPPAUGE, NY

Past

February 15, 2005 - November 18, 2005

MM ASCEND LIFE INVESTOR SERVICES, LLC

CRD#: 36451

CINCINNATI, OH

Past

July 13, 1992 - February 15, 2005

PMG SECURITIES CORPORATION

CRD#: 27107

ELGIN, IL

Past

July 24, 1985 - March 27, 1986

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

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".

COMPOSITION WEALTH, LLC

COMPOSITION WEALTH, LLC | MIRACLE MILE ADVISORS, LLC | MIRACLE MILE ADVISORS, INC.

CRD#: 143483 / SEC#: 801-74711

RIA

Registered Investment Advisory firm - (3/22/2012 Approved)

California

Registered Investment Advisory firm - (4/11/2012 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

New York
(11/24/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 7/22/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/13/1998

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/9/1992

Investment Company Products/Variable Contracts Representative Examination

Current Firm

COMPOSITION WEALTH, LLC

COMPOSITION WEALTH, LLC | MIRACLE MILE ADVISORS, LLC | MIRACLE MILE ADVISORS, INC.

CRD#: 143483 / SEC#: 801-74711

RIA

Registered Investment Advisory firm - (3/22/2012 Approved)

California

Registered Investment Advisory firm - (4/11/2012 Terminated)

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Contact information

Main Address

11300 West Olympic Blvd Suite 800, Los Angeles, CA 90064

Mailing Address

Phone number

(310) 246-1243

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (39 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

APPENDIX 1 - WRAP FEE PROGRAM BROCHURE (10/27/2025)

FORM ADV PART 2A (10/27/2025)

Regulatory assets under management

Total Number of Accounts	8,671
AUM (Assets Under Management)	$ 6,714,187,844

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

xxxxx@xxxx.xxx

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John D. Caffrey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John David Caffrey JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROSEMARK ADVISORS, INC.

CASTLE ASSET MANAGEMENT, LLC

PURSHE KAPLAN STERLING INVESTMENTS

MM ASCEND LIFE INVESTOR SERVICES, LLC

PMG SECURITIES CORPORATION

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

Primary Firm SEC Registration

COMPOSITION WEALTH, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/22/1992

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 1/13/1998

Series 6

Date: 7/9/1992

Current Firm

COMPOSITION WEALTH, LLC

Contact information

SEC notice filing (39 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

COMPOSITION WEALTH, LLC

TRUST BUT VERIFY

Contact information

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