Stephen Thomas Mccauley
Professional Summary
Stephen Thomas Mccauley, who also goes by Steve Mccauley, is a registered financial advisor currently at NYLIFE SECURITIES LLC located in West Lafayette, Indiana. Stephen is registered as a RR (Registered Representative) and started their career in finance in 1990. Stephen has worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Steve Mccauley
Similar Advisors
CETERA INVESTMENT ADVISERS LLC
CITIZENS SECURITIES, INC.
VOYA FINANCIAL ADVISORS, INC.
EDWARD JONES
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
CETERA INVESTMENT ADVISERS LLC
CITIZENS SECURITIES, INC.
VOYA FINANCIAL ADVISORS, INC.
EDWARD JONES
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
CETERA INVESTMENT ADVISERS LLC
CITIZENS SECURITIES, INC.
VOYA FINANCIAL ADVISORS, INC.
EDWARD JONES
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.
Similar Advisors
CETERA INVESTMENT ADVISERS LLC
CITIZENS SECURITIES, INC.
VOYA FINANCIAL ADVISORS, INC.
EDWARD JONES
Years of Experience
36 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
CETERA INVESTMENT ADVISERS LLC
CITIZENS SECURITIES, INC.
VOYA FINANCIAL ADVISORS, INC.
EDWARD JONES
Current Firm
NEW YORK LIFE SECURITIES CORP. | NYLIFE SECURITIES LLC | NYLIFE SECURITIES INC. | NEW YORK LIFE VARIABLE CONTRACTS CORPORATION
Contact Information
Main Address
51 Madison Ave. Room 713, New York, NY 10010Mailing Address
51 Madison Avenue Room 713, New York, NY 10010Phone Number
(212) 576-7000Established
Delaware since 01/01/2007Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
LargeFINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NYLIFE LLC. | SHAREHOLDER | — |
| BAGTAS, ANGELA CHEN | ELECTED MANAGER | 8172856 |
| BOCCIO, JOHN MICHAEL | CHIEF EXECUTIVE OFFICER AND PRESIDENT | 4600977 |
| DUARTE, DEBORAH LYNN | ELECTED MANAGER | 6090278 |
| ENGELBRECHTSEN, TOM DAHL | CORPORATE VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 2908809 |
| FEINBERG, AMARYA NMN | ELECTED MANAGER | 8162482 |
| HUANG, DYLAN WEI | ELECTED MANAGER AND CHAIRMAN | 6233208 |
| LOFTUS, PATRICIA ELIZABETH | CORPORATE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | 2156131 |
| SCHWARTZ, RACHEL SABRINA | VICE PRESIDENT AND ASSOCIATE GENERAL COUNSEL | 8170474 |
| TILLOTSON, SANDRA G | ELECTED MANAGER | 7617600 |
| VIRENDRA, SONALI NMN | ELECTED MANAGER | 2404467 |
| ZAMAN, NABEED | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 6410914 |
Disclosures
Regulatory Event
13Arbitration
7Similar Advisors
CETERA INVESTMENT ADVISERS LLC
CITIZENS SECURITIES, INC.
VOYA FINANCIAL ADVISORS, INC.
EDWARD JONES
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
The advisor shows no other business activity.
Similar Advisors
CETERA INVESTMENT ADVISERS LLC
CITIZENS SECURITIES, INC.
VOYA FINANCIAL ADVISORS, INC.
EDWARD JONES
State Registrations and Notice Filings
(11/7/2016)
(3/21/2018)
(11/9/2021)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Nov 1990About the Series 6 examSRO Registrations
Similar Advisors
CETERA INVESTMENT ADVISERS LLC
CITIZENS SECURITIES, INC.
VOYA FINANCIAL ADVISORS, INC.
EDWARD JONES
CRS (Client Relationship Summary) - BD
Click below to view Stephen Thomas Mccauley's CRS (Customer Relationship Summary).
Similar Advisors
CETERA INVESTMENT ADVISERS LLC
CITIZENS SECURITIES, INC.
VOYA FINANCIAL ADVISORS, INC.
EDWARD JONES