Rory J. Mcauliffe
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.
Rory James Mcauliffe was a registered financial advisor .
Rory is a previously registered financial advisor and started their career in finance in 1983. Rory had worked at 18 firms and has passed the Series 66, Series 63, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 21, 2012 - November 12, 2013
HOLM & CAWLEY FINANCIAL GROUP LLC
March 1, 2012 - August 16, 2012
OAK STREET SECURITIES, INC.
September 15, 2009 - March 6, 2012
CENTAURUS FINANCIAL, INC.
September 18, 2008 - June 23, 2009
CROWN CAPITAL SECURITIES, L.P.
June 16, 2008 - September 12, 2008
USA FINANCIAL SECURITIES LLC
September 5, 2007 - June 18, 2008
LIBERTY PARTNERS FINANCIAL SERVICES, LLC
January 3, 2007 - September 6, 2007
VOYA FINANCIAL ADVISORS, INC.
October 31, 2005 - January 8, 2007
OSAIC SERVICES, INC.
October 31, 2005 - January 8, 2007
OSAIC SERVICES, INC.
September 7, 2005 - October 31, 2005
SUNAMERICA SECURITIES, INC.
September 2, 2005 - October 31, 2005
SUNAMERICA SECURITIES, INC.
August 22, 2005 - September 9, 2005
LPL FINANCIAL LLC
August 22, 2005 - September 9, 2005
LPL FINANCIAL LLC
May 11, 2005 - November 8, 2005
THE HOUSEHOLDER GROUP, ESTATE & RETIREMENT SPECIALISTS
January 29, 2003 - August 26, 2005
SUNAMERICA SECURITIES, INC.
October 23, 1996 - November 20, 2002
SEIBT FINANCIAL SERVICES, INC
September 11, 1996 - October 3, 1996
SEIBT FINANCIAL SERVICES, INC
July 22, 1996 - September 12, 1996
ALLSTATE FINANCIAL SERVICES, LLC
October 31, 1995 - September 18, 1996
CAPITAL BROKERAGE CORPORATION
August 11, 1995 - September 1, 1995
BA INVESTMENT SERVICES, INC.
November 9, 1983 - December 24, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
November 9, 1983 - October 18, 1995
IDS LIFE INSURANCE COMPANY
November 9, 1983 - October 18, 1995
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
HOLM & CAWLEY FINANCIAL GROUP LLC
CRD#: 150601 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 289 |
| AUM (Assets Under Management) | $ 97,641,000 |
Red Flags
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