John J. Mccauley

MCCAULEY INVESTMENTS ADVISORS LLC

Guilford, CT 06437

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CRD#: 1275230

Professional summary

John Joseph Mccauley is a registered financial advisor currently at MCCAULEY INVESTMENTS ADVISORS LLC located in Guilford, Connecticut.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. John has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6 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.

1)MCCAULEY INVESTMENT SERVICES, PO BOX 409, GUILFORD, CT 06437: SOLE PROPRIETORSHIP, NATURE OF BUS: TERM/LTC/HEALTH INS, TITLE: OWNER, DUTIES: OWNER/SALES, TIME SPENT: 10%, COMPENSATION: COMMISSIONS, 2)MCCAULEY INVESTMENT ADVISORS LLC, 2415 BOSTON POST RD STE 13, PO BOX 409, GUILFORD CT 06437: NATURE OF BUS: REG INVESTMENT ADVISOR, TITLE: PRINCIPAL OWNER, DUTIES: OWNER/CHIEF COMPLIANCE OFFICER, TIME SPENT: 50%, COMPENSATION: YES

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Joseph 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®

None

Experience

Current

August 27, 2014 - Present

MCCAULEY INVESTMENTS ADVISORS LLC

Office #1: 138 Sam Hill Road P. O. Box 409, Guilford, CT 06437

RIA

CRD#: 171742

Guilford, CT

Past

January 30, 2015 - November 30, 2015

STONEX ADVISORS INC.

RIA

CRD#: 174182

BIRMINGHAM, AL

Past

September 12, 2014 - November 30, 2015

STONEX SECURITIES INC.

CRD#: 18456

GULIFORD, CT

Past

March 8, 2006 - January 30, 2015

WRP INVESTMENTS, INC.

RIA

CRD#: 7365

GULIFORD, CT

Past

March 8, 2006 - September 12, 2014

WRP INVESTMENTS, INC.

CRD#: 7365

GULIFORD, CT

Past

May 28, 2004 - March 9, 2006

LPL FINANCIAL LLC

RIA

CRD#: 6413

MADISON, CT

Past

May 28, 2004 - March 9, 2006

LPL FINANCIAL LLC

CRD#: 6413

MADISON, CT

Past

January 3, 2000 - June 2, 2004

MAIN STREET MANAGEMENT COMPANY

RIA

CRD#: 547

MADISON, CT

Past

August 3, 1987 - June 2, 2004

MAIN STREET MANAGEMENT COMPANY

CRD#: 547

BOSTON, MA

Past

June 13, 1984 - December 24, 1986

AMERICAN EXPRESS FINANCIAL CORPORATION

CRD#: 6320

Past

June 13, 1984 - September 9, 1987

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

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

Connecticut
(8/27/2014)

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

IAR

Series 65

Date: 12/22/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/24/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 11/30/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/15/1986

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 7/11/1984

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 6/12/1984

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/31/2001

General Securities Principal Examination

Current Firm

MCCAULEY INVESTMENTS ADVISORS LLC

MCCAULEY INVESTMENTS ADVISORS LLC | MCCAULEY, JOHN J

CRD#: 171742 / SEC#:

Connecticut

Registered Investment Advisory firm - (8/27/2014 Approved)

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Contact information

Main Address

138 Sam Hill Road P. O. Box 409, Guilford, CT 06437

Mailing Address

Phone number

(203) 453-2200

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	48
AUM (Assets Under Management)	$ 9,190,000

Red Flags

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

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John J. Mccauley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Joseph Mccauley's CRS (Customer Relationship Summary).

Certified licenses

Experience

STONEX ADVISORS INC.

STONEX SECURITIES INC.

WRP INVESTMENTS, INC.

WRP INVESTMENTS, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

MAIN STREET MANAGEMENT COMPANY

MAIN STREET MANAGEMENT COMPANY

AMERICAN EXPRESS FINANCIAL CORPORATION

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/22/1997

Series 63

Date: 8/24/1984

SIE

Date: 11/30/2015

Series 7

Date: 2/15/1986

Series 22

Date: 7/11/1984

Series 6

Date: 6/12/1984

Series 24

Date: 1/31/2001

Current Firm

MCCAULEY INVESTMENTS ADVISORS LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

MCCAULEY INVESTMENTS ADVISORS LLC

TRUST BUT VERIFY

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