David J. Macaulay

MACAULAY & ASSOCIATES

FORT MILL, SC 29715

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CRD#: 3180789

Professional summary

David Jarvis Macaulay, CFP®, ChFC® is a registered financial advisor currently at MACAULAY & ASSOCIATES, LLC located in Fort Mill, South Carolina.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. David has worked at 6 firms and has passed the Series 65, Series 63, SIE, 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.

FIXED INSURANCE SALES. Implemented as an Individual. NOT INVESTMENT RELATED; INSURANCE RELATED FOR FIXED, DISABILITY AND LONG TERM CARE. JULY 2007; 3-5 HRS/MONTH; INSURANCE SALES AND SERVICE AS IT RELATES TO FINANCIAL PLANNING.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Jarvis Macaulay'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®

CFP^®

Certified Financial Planner

Start date: 2001

ChFC^®

Chartered Financial Consultant

Experience

Current

August 2, 2007 - Present

MACAULAY & ASSOCIATES, LLC

Office #1: 360 Kingsley Park Drive Suite 190, Fort Mill, SC 29715

RIA

CRD#: 144717

FORT MILL, SC

Past

September 15, 2011 - September 30, 2020

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

FORT MILL, SC

Past

July 23, 2007 - September 19, 2011

TRIAD ADVISORS LLC

CRD#: 25803

FORT MILL, SC

Past

January 3, 2007 - July 27, 2007

FIRST ALLIED ADVISORY SERVICES, INC.

RIA

CRD#: 137888

CHESTERFIELD, MO

Past

May 4, 2005 - January 3, 2007

FFP ADVISORY SERVICES INC

RIA

CRD#: 110778

ROCK HILL, SC

Past

February 10, 1999 - July 27, 2007

FFP SECURITIES, INC.

CRD#: 16337

ROCK HILL, SC

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

North Carolina
(8/6/2007)

IAR

South Carolina
(8/2/2007)

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: 2/17/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/11/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/9/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/31/2000

General Securities Principal Examination

Current Firm

MACAULAY & ASSOCIATES, LLC

MACAULAY & ASSOCIATES | MACAULAY, DAVID, JARVIS | MACAULAY & ASSOCIATES, LLC

CRD#: 144717 / SEC#:

North Carolina

Registered Investment Advisory firm - (8/6/2007 Approved)

South Carolina

Registered Investment Advisory firm - (8/1/2007 Approved)

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Contact information

Main Address

360 Kingsley Park Drive Suite 190, Fort Mill, SC 29715

Mailing Address

Phone number

(803) 802-7224

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	309
AUM (Assets Under Management)	$ 69,359,020

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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David J. Macaulay

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Jarvis Macaulay's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

TRIAD ADVISORS LLC

FIRST ALLIED ADVISORY SERVICES, INC.

FFP ADVISORY SERVICES INC

FFP SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 2/17/1999

Series 63

Date: 2/11/1999

SIE

Date: 10/1/2018

Series 7

Date: 2/9/1999

Series 24

Date: 7/31/2000

Current Firm

MACAULAY & ASSOCIATES, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

MACAULAY & ASSOCIATES, LLC

TRUST BUT VERIFY

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