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Terrance F. Mccauley

TJM INVESTMENTS
New York, NY 10005
Some features on this profile are disabled
CRD#: 2701419
TM

Professional summary

Terrance Francis Mccauley, who also goes by Terrance F Mccauley, Terrance Mccauley, is a registered financial professional currently at TJM INVESTMENTS, LLC located in New York, New York.

Terrance is registered as a RR (Registered Representative) and started their career in finance in 1996. Terrance has worked at 4 firms and has passed the SIE, Series 7 and Series 25 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Terrance F Mccauley | Terrance Mccauley

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) - BD

Click below to view Terrance Francis Mccauley'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

February 14, 2019 - Present

TJM INVESTMENTS, LLC

Office #1: Nyse Trading Floor 11 Wall Street, New York, NY 10005
BD
CRD#: 46300
New York, NY
Past

December 28, 2018 - March 27, 2019

BENJAMIN & JEROLD BROKERAGE I, LLC

BD
CRD#: 29110
NEW YORK, NY
Past

October 1, 2000 - January 7, 2019

MCCAULEY SECURITIES, LTD.

BD
CRD#: 33043
NEW YORK, NY
Past

August 1, 1996 - July 16, 1997

INTERCAPITAL GOVERNMENT SECURITIES INC.

BD
CRD#: 19710
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/13/2000
General Securities Representative Examination
General Industry/Product Exam
RR
Series 25
Date: 1/20/2000
NYSE Trading Assistant Examination
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
New York Stock Exchange

Current Firm

TI
TJM INVESTMENTS, LLC
MND PARTNERS | TJM SECURITIES, LLC | TJM INVESTMENTS, LLC

CRD#: 46300 / SEC#: , 8-51370

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
318 W. Adams Street Suite 900, Chicago, IL 60606
Mailing Address
318 W. Adams Street 9th Floor, Chicago, IL 60606
Phone number
(312) 432-5100
Established
Illinois since 10/13/1998
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (34 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
TJM HOLDINGS, LLCHOLDING COMPANY
BEITLER, STEVE ALLENCHIEF EXECUTIVE OFFICER1893827
BURKE, JOHN TERRENCECHIEF OPERATING OFFICER2116593
DANG, STACY BINHCHIEF COMPLIANCE OFFICER3143275
MURPHY, THOMAS JAMESCO-MANAGER857354
RISINGER, COLLEEN SULLIVANFINOP CFO2812053
SKWERES, DENISE PAREJKOFINOP CFO5332253

Disclosures

Regulatory Event12

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.

Company Information

TJM INVESTMENTS, LLC

CRD#: 46300New York, NY 10005

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