JM
John T. Mccauley
VICTORY CAPITAL MANAGEMENT
CLEVELAND, OH 44114
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CRD#: 2999241
JM
Professional summary
John Thomas Mccauley is a registered financial advisor currently at VICTORY CAPITAL MANAGEMENT INC. located in Cleveland, Ohio and VICTORY CAPITAL SERVICES, INC. located in Avon Lake, Ohio.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. John has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 24 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.
Employee of affiliated registered investment adviser, Victory Capital Management Inc.
CRS (Client Relationship Summary) - RIA
Click below to view John Thomas 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®
NoneExperience
Current
June 17, 2004 - Present
VICTORY CAPITAL MANAGEMENT INC.
Office #1: 127 Public Square Suite 5000, Cleveland, OH 44114RIA
CRD#: 106189
CLEVELAND, OH
Current
January 2, 2004 - Present
VICTORY CAPITAL SERVICES, INC.
BD
CRD#: 37059
Avon Lake, OH
Past
March 2, 2006 - July 26, 2007
FUNDS DISTRIBUTOR, LLC
BD
CRD#: 7174
CLEVELAND, OH
Past
December 10, 2001 - September 30, 2003
FORESIDE DISTRIBUTION SERVICES, L.P.
BD
CRD#: 15634
PORTLAND, ME
Past
February 20, 1998 - November 7, 2001
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
VC
VICTORY CAPITAL MANAGEMENT INC.
CEMP | VICTORY SBSF CAPITAL MANAGEMENT | VICTORY NEWBRIDGE CAPITAL MANAGEMENT | VICTORY INCOME INVESTORS | VICTORY GRADISION CAPITAL MANAGEMENT | VICTORY CAPITAL SOLUTIONS | VICTORY CAPITAL MANAGEMENT INC. | VICTORY CAPITAL | VICTORY ADVISORS INC | VICTORY | TRIVALENT INVESTMENTS | THB ASSET MANAGEMENT | SYCAMORE CAPITAL | SOPHUS CAPITAL | RS INVESTMENTS | PIONEER INVESTMENTS | NEWBRIDGE ASSET MANAGEMENT | NEW ENERGY CAPITAL | MUNDER CAPITAL MANAGEMENT | MUNDER CAPITAL | MUNDER | KEY ASSET MANAGEMENT INC | INTEGRITY ASSET MANAGEMENT | INTEGRITY | INCORE CAPITAL MANAGEMENT | EXPEDITION INVESTMENT PARTNERS | DIVERSIFIED EQUITY MANAGEMENT | COMPASS EMP | COMPASS EFFICIENT MODEL PORTFOLIOS
CRD#: 106189 / SEC#: 801-46878
RIA
Registered Investment Advisory firm - (5/10/1994 Approved)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(7/24/2007)
RR
Illinois(9/12/2016)
RR
Indiana(9/12/2016)
RR
Kentucky(7/24/2007)
RR
Michigan(9/12/2016)
RR
Minnesota(9/12/2016)
RR
Missouri(9/12/2016)
IAR
Ohio(6/17/2004)
RR
Ohio(7/24/2007)
RR
Pennsylvania(9/12/2016)
RR
Wisconsin(7/24/2007)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
VC
VICTORY CAPITAL MANAGEMENT INC.
CEMP | VICTORY SBSF CAPITAL MANAGEMENT | VICTORY NEWBRIDGE CAPITAL MANAGEMENT | VICTORY INCOME INVESTORS | VICTORY GRADISION CAPITAL MANAGEMENT | VICTORY CAPITAL SOLUTIONS | VICTORY CAPITAL MANAGEMENT INC. | VICTORY CAPITAL | VICTORY ADVISORS INC | VICTORY | TRIVALENT INVESTMENTS | THB ASSET MANAGEMENT | SYCAMORE CAPITAL | SOPHUS CAPITAL | RS INVESTMENTS | PIONEER INVESTMENTS | NEWBRIDGE ASSET MANAGEMENT | NEW ENERGY CAPITAL | MUNDER CAPITAL MANAGEMENT | MUNDER CAPITAL | MUNDER | KEY ASSET MANAGEMENT INC | INTEGRITY ASSET MANAGEMENT | INTEGRITY | INCORE CAPITAL MANAGEMENT | EXPEDITION INVESTMENT PARTNERS | DIVERSIFIED EQUITY MANAGEMENT | COMPASS EMP | COMPASS EFFICIENT MODEL PORTFOLIOS
CRD#: 106189 / SEC#: 801-46878
RIA
Registered Investment Advisory firm - (5/10/1994 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
15935 La Cantera Pkwy, San Antonio, TX 78256
Mailing Address
Phone number
(877) 660-4400
Established
Firm type
Fiscal year end
# of Employees
460
SEC notice filing (45 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,566 |
| AUM (Assets Under Management) | $ 152,291,202,954 |
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.
