James C. Mccauley
Professional summary
James Curtis Mccauley was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
James is a previously registered financial advisor and started their career in finance in 1988. Prior to being barred, James had worked at 11 firms, which includes CETERA INVESTMENT SERVICES LLC, CITIGROUP GLOBAL MARKETS INC., MORGAN STANLEY DW INC., PRUCO SECURITIES LLC., METROPOLITAN LIFE INSURANCE COMPANY, MSI FINANCIAL SERVICES INC., WS GRIFFITH SECURITIES INC., NYLIFE SECURITIES LLC, CONCOURSE FINANCIAL GROUP SECURITIES INC., MARKETING ONE SECURITIES INC., INDEPENDENT FINANCIAL SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 18, 2004 - June 2, 2005
CETERA INVESTMENT SERVICES LLC
August 18, 2004 - June 2, 2005
CETERA INVESTMENT SERVICES LLC
August 30, 2002 - August 27, 2004
CITIGROUP GLOBAL MARKETS INC.
August 30, 2002 - August 27, 2004
CITIGROUP GLOBAL MARKETS INC.
September 28, 2000 - September 6, 2002
MORGAN STANLEY DW INC.
September 28, 2000 - September 6, 2002
MORGAN STANLEY DW INC.
August 26, 1998 - September 19, 2000
PRUCO SECURITIES, LLC.
July 26, 1996 - July 17, 1998
METROPOLITAN LIFE INSURANCE COMPANY
July 26, 1996 - July 17, 1998
MSI FINANCIAL SERVICES, INC.
January 30, 1996 - June 21, 1996
WS GRIFFITH SECURITIES, INC.
April 4, 1991 - January 29, 1996
METROPOLITAN LIFE INSURANCE COMPANY
April 4, 1991 - January 29, 1996
MSI FINANCIAL SERVICES, INC.
September 11, 1990 - March 12, 1991
NYLIFE SECURITIES LLC
January 3, 1990 - August 7, 1990
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
September 7, 1989 - January 10, 1990
MARKETING ONE SECURITIES, INC.
August 16, 1989 - September 7, 1989
INDEPENDENT FINANCIAL SECURITIES, INC.
May 3, 1988 - August 1, 1989
MARKETING ONE SECURITIES, INC.
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
CETERA INVESTMENT SERVICES LLC
CRD#: 15340 / SEC#: 801-45573, 8-31826
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| CASEY, SEAN PATRICK | VICE PRESIDENT | 2156290 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HANAU, JENNIFER LEIGH | VICE PRESIDENT | 2898698 |
| HOLWEGER, KIMBERLEY ANN | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| KIRCHER, NICHOLE MARIE | VICE PRESIDENT | 2876887 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | MANAGER | 2799860 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| REINHOLZ, CHRISTOPHER JON | VICE PRESIDENT, DIRECTOR OF TRADING | 1961258 |
| RUMMEL, LEANN RENEE | MANAGER, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 1965155 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| WEITHAUS, GWENDOLYN | CHIEF COMPLIANCE OFFICER | 2445442 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 3 |
Red Flags
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