Denis Mcauley
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.
Denis Mcauley III was a registered financial professional .
Denis is a previously registered financial professional and started their career in finance in 1990. Denis had worked at 4 firms and has passed the Series 27 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 15, 1997 - October 4, 2013
EDGEWOOD SERVICES, INC.
December 22, 1993 - October 10, 2007
SOUTHPOINTE DISTRIBUTION SERVICES INC.
December 22, 1993 - December 31, 2013
FEDERATED SECURITIES CORP.
November 30, 1990 - December 20, 1993
NSR DISTRIBUTORS, 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
EDGEWOOD SERVICES, INC.
CRD#: 35970 / SEC#: , 8-46985
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FEDERATED SERVICES COMPANY | SHAREHOLDER | |
| BOUDA, BRIAN PAUL | CHIEF COMPLIANCE OFFICER | 2530800 |
| DAVIS, CHARLES LEE JR. | PRESIDENT | 4132351 |
| DONAHUE, THOMAS ROBERT | DIRECTOR/EXECUTIVE VICE PRESIDENT | 2766434 |
| FRIEDMAN, STEVEN ALAN | COMPLIANCE OFFICER | 3022856 |
| GERMAIN, PETER JOSEPH | DIRECTOR | 4152014 |
| HENSLER, LORI ANN | ASST. TREASURER | 5087537 |
| MOORE, KARY ANNE | SECRETARY | 5989808 |
| NOVAK, RICHARD ANTHONY | TREASURER | 2901271 |
| TERRIT, THOMAS EUGENE | DIRECTOR | 1057571 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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