Michael T. Cook

MCCAULEY INVESTMENT ADVISORY

Chandler, AZ

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CRD#: 2549417

Professional summary

Michael Thomas Cook is a registered financial advisor currently at MCCAULEY INVESTMENT ADVISORY, LLC located in Chandler, Arizona.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Michael has worked at 2 firms and has passed the Series 65, Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Thomas Cook's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

November 1, 2022 - Present

MCCAULEY INVESTMENT ADVISORY, LLC

RIA

CRD#: 166035

Chandler, AZ

Past

October 19, 1994 - December 16, 1998

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Arizona
(11/1/2022)

IAR

New Mexico
(3/15/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/13/2022

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/27/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 10/18/1994

Investment Company Products/Variable Contracts Representative Examination

Current Firm

MCCAULEY INVESTMENT ADVISORY, LLC

CRD#: 166035 / SEC#:

Arizona

Registered Investment Advisory firm - (2/21/2013 Approved)

California

Registered Investment Advisory firm - (10/30/2013 Terminated)

New Mexico

Registered Investment Advisory firm - (3/7/2024 Approved)

Texas

Registered Investment Advisory firm - (6/23/2015 Conditional Restricted)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Show Low, AZ

Mailing Address

Phone number

(480) 827-8445

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	91
AUM (Assets Under Management)	$ 16,300,000

Red Flags

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.

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Michael T. Cook

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Thomas Cook's CRS (Customer Relationship Summary).

Certified licenses

Experience

MCCAULEY INVESTMENT ADVISORY, LLC

SUNAMERICA SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/13/2022

Series 63

Date: 6/27/1996

Series 6

Date: 10/18/1994

Current Firm

MCCAULEY INVESTMENT ADVISORY, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

MCCAULEY INVESTMENT ADVISORY, LLC

TRUST BUT VERIFY

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