Cornelius Mcauliffe
Professional summary
Cornelius Mcauliffe, who also goes by Cornelius George Mcauliffe III, Neil George Mcauliffe III, Neil George Mcauliffe, is a registered financial professional currently at DAI SECURITIES, LLC located in Westlake Village, California.
Cornelius is registered as a RR (Registered Representative) and started their career in finance in 1988. Cornelius has worked at 4 firms and has passed the Series 63, SIE, Series 6, Series 22 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Cornelius Mcauliffe's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 1, 2023 - Present
DAI SECURITIES, LLC
Office #1: 2660 Townsgate Rd #310, Westlake Village, CA 91361January 2, 2008 - September 5, 2023
CROWN CAPITAL SECURITIES, L.P.
February 1, 2006 - January 2, 2008
USA ADVANCED PLANNERS INC.
March 22, 1988 - January 27, 2006
EQUITY SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
(9/1/2023)
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Exams
FINRA
Current Firm
DAI SECURITIES, LLC
CRD#: 36673 / SEC#: , 8-47393
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
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Company Information
DAI SECURITIES, LLC
CRD#: 36673Westlake Village, CA 91361TRUST BUT VERIFY
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