Michael P. Mccauley
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.
Michael Patrick Mccauley was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1993. Michael had worked at 6 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 6, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 25, 2016 - July 31, 2020
WILLIAM O'NEIL SECURITIES
January 6, 2009 - April 23, 2012
PYRAMIS DISTRIBUTORS CORPORATION LLC
January 1, 2008 - January 30, 2009
FIDELITY DISTRIBUTORS COMPANY LLC
March 7, 2002 - November 29, 2005
PULSE TRADING, INC.
May 24, 1994 - February 19, 2002
FIDELITY DISTRIBUTORS CORPORATION
March 10, 1993 - May 16, 1994
FIDELITY BROKERAGE SERVICES LLC
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
Series 55
Date: 9/16/2002
Limited Representative-Equity Trader ExamSeries 8
Date: 2/2/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
WILLIAM O'NEIL SECURITIES
CRD#: 894 / SEC#: , 8-11763
Contact information
FINRA licenses (51 States and Territories)
Documents
Disclosures
| Regulatory Event | 4 |
Red Flags
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