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JM

John W. Mcauley

STERLING CAPITAL MANAGEMENT
Charlotte, NC 28209
Some features on this profile are disabled
CRD#: 3188892
JM
John W Mcauley IIISTERLING CAPITAL MANAGEMENT

Professional summary

John W Mcauley III, CIMA®, who also goes by John W Mcauley, John William Mcauley III, John W Mcauley III, John William Mcauley Iii, is a registered financial advisor currently at STERLING CAPITAL MANAGEMENT LLC located in Charlotte, North Carolina and ROBERT W. BAIRD & CO. INCORPORATED located in Charlotte, North Carolina.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. John has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.

Aliases

John W Mcauley | John William Mcauley Iii | John W Mcauley Iii | John William Mcauley Iii

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 John W Mcauley III's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view John W Mcauley III's CRS (Customer Relationship Summary).
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®
CIMA®

Certified Investment Management Analyst

Experience

Current

April 16, 2013 - Present

STERLING CAPITAL MANAGEMENT LLC

Office #1: 4350 Congress Street Suite 300, Charlotte, NC 28209
RIA
CRD#: 135405
Charlotte, NC
Current

July 13, 2026 - Present

ROBERT W. BAIRD & CO. INCORPORATED

Office #1: 4350 Congress St Suite 400, Charlotte, NC 28209
RIA
BD
CRD#: 8158
Charlotte, NC
Current

July 13, 2026 - Present

ROBERT W. BAIRD & CO. INCORPORATED

Office #1: 4350 Congress St Suite 400, Charlotte, NC 28209
RIA
BD
CRD#: 8158
Charlotte, NC
Past

August 1, 2011 - July 14, 2026

STERLING CAPITAL DISTRIBUTORS, LLC

BD
CRD#: 103934
CHARLOTTE, NC
Past

November 5, 2010 - September 16, 2011

OAK ASSOCIATES LTD

RIA
CRD#: 108874
AKRON, OH
Past

May 21, 2010 - May 26, 2011

ALPS DISTRIBUTORS, INC.

BD
CRD#: 16853
AKRON, OH
Past

October 19, 2005 - December 11, 2008

WILLIAM BLAIR

RIA
CRD#: 1252
CHICAGO, IL
Past

October 18, 2005 - December 11, 2008

WILLIAM BLAIR

BD
CRD#: 1252
CHICAGO, IL
Past

April 12, 2005 - September 20, 2005

BOFA ADVISORS, LLC

RIA
CRD#: 107900
BOSTON, MA
Past

August 30, 2004 - April 12, 2005

COLUMBIA MANAGEMENT ADVISORS, INC.

RIA
CRD#: 105842
BOSTON, MA
Past

August 30, 2004 - September 20, 2005

BOFA DISTRIBUTORS, INC.

BD
CRD#: 30683
BOSTON, MA
Past

November 18, 2003 - September 2, 2004

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA
CRD#: 16361
RALEIGH, NC
Past

November 18, 2003 - September 2, 2004

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
BOSTON, MA
Past

January 1, 2003 - August 18, 2003

BACAP DISTRIBUTORS, LLC

RIA
CRD#: 46088
CHARLOTTE, NC
Past

January 1, 2003 - August 18, 2003

BACAP DISTRIBUTORS, LLC

BD
CRD#: 46088
CHARLOTTE, NC
Past

August 28, 2001 - January 1, 2003

STEPHENS

RIA
CRD#: 3496
CHARLOTTE, NC
Past

March 14, 2000 - January 1, 2003

STEPHENS

BD
CRD#: 3496
LITTLE ROCK, AR

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".
ROBERT W. BAIRD & CO. INCORPORATED
ROBERT W. BAIRD & CO. INCORPORATED
BAIRD | THE DDK GROUP | ROBERT W. BAIRD & CO. INCORPORATED | CHAUTAUQUA CAPITAL MANAGEMENT | BAIRD PRIVATE WEALTH MANAGEMENT | BAIRD PRIVATE ASSET MANAGEMENT | BAIRD INSTITUTIONAL EQUITIES & RESEARCH | BAIRD GENERATIONAL WEALTH GROUP | BAIRD EQUITY ASSET MANAGEMENT | BAIRD ADVISORS

CRD#: 8158 / SEC#: 801-7571, 8-497

RIA
Registered Investment Advisory firm - SEC (7/14/1971 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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
(7/13/2026)
IAR
California
(7/13/2026)
RR
Florida
(7/13/2026)
IAR
Florida
(7/14/2026)
RR
Georgia
(7/13/2026)
IAR
Georgia
(7/14/2026)
RR
Illinois
(7/13/2026)
RR
Maine
(7/13/2026)
IAR
Maine
(7/13/2026)
RR
Massachusetts
(7/13/2026)
RR
New York
(7/13/2026)
IAR
New York
(7/13/2026)
IAR
North Carolina
(4/16/2013)
RR
North Carolina
(7/13/2026)
RR
South Carolina
(7/13/2026)
IAR
South Carolina
(7/14/2026)
RR
Tennessee
(7/13/2026)
RR
Virginia
(7/13/2026)
IAR
Virginia
(7/13/2026)
RR
Washington
(7/13/2026)

Exams

State Security Law Exam
IAR
Series 65
Date: 7/23/2001
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/17/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/24/2000
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 3/13/2000
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/13/2020
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 26
Date: 1/7/2013
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

ROBERT W. BAIRD & CO. INCORPORATED
ROBERT W. BAIRD & CO. INCORPORATED
BAIRD | THE DDK GROUP | ROBERT W. BAIRD & CO. INCORPORATED | CHAUTAUQUA CAPITAL MANAGEMENT | BAIRD PRIVATE WEALTH MANAGEMENT | BAIRD PRIVATE ASSET MANAGEMENT | BAIRD INSTITUTIONAL EQUITIES & RESEARCH | BAIRD GENERATIONAL WEALTH GROUP | BAIRD EQUITY ASSET MANAGEMENT | BAIRD ADVISORS

CRD#: 8158 / SEC#: 801-7571, 8-497

RIA
Registered Investment Advisory firm - SEC (7/14/1971 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
777 E. Wisconsin Avenue, Milwaukee, WI 53202-5391
Mailing Address
P.o. Box 672, Milwaukee, WI 53201
Phone number
(414) 765-3500
Established
Wisconsin since 12/29/1919
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
4,175

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

BAIRD PRIVATE ASSET MANAGEMENT - WRAP (12/15/2025)
BAIRD GENERATIONAL WEALTH GROUP - WRAP (12/15/2025)
BAIRD INSTITUTIONAL CONSULTING SERVICES (12/15/2025)
THE DDK GROUP (12/15/2025)
BAIRD PRIVATE ASSET MANAGEMENT (12/15/2025)
BAIRD GENERATIONAL WEALTH GROUP (12/15/2025)
BAIRD EQUITY ASSET MANAGEMENT - CHAUTAUQUA CAPITAL MANAGEMENT (12/15/2025)
BAIRD FINANCIAL PLANNING SERVICES (12/15/2025)
BAIRD PRIVATE WEALTH MANAGEMENT (12/15/2025)
THE DDK GROUP - WRAP (12/15/2025)
BAIRD INSTITUTIONAL EQUITY RESEARCH SERVICES (3/21/2025)
BAIRD ADVISORS (3/21/2025)

Direct owners and executive officers

NamePositionCRD#
BAIRD FINANCIAL CORPORATIONSHAREHOLDER
BOOTH, STEVEN GREGORYCHAIRMAN, PRESIDENT, CHIEF EXECUTIVE OFFICER2147388
DAHLBERG, ERIK CHARLESDIRECTOR1650544
GRAVERSON, CHRISTA LYNNCHIEF COMPLIANCE OFFICER4912961
LAWTON, PATRICK STEVENDIRECTOR1007318
MAXWELL, TERRANCE PATRICKCHIEF FINANCIAL OFFICER, DIRECTOR1463158
PALMER, ANGELA MARIEREGISTERED INVESTMENT ADVISOR CCO4915568
SCHROEDER, MICHAEL JOHNDIRECTOR1483012
SCHULTZ, PAUL LEEGENERAL COUNSEL, SECRETARY1965163
STANEK, MARY ELLENDIRECTOR2006493
THUROW, LAURA KCHIEF OPERATIONS OFFICER3193702

Regulatory assets under management

Total Number of Accounts350,776
AUM (Assets Under Management)$ 342,142,869,924

Disclosures

Regulatory Event43
Arbitration31

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
12/23/2025
Cover Page
Report
10/24/2024
Cover Page
Report
11/15/2023
Cover Page
Report

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

ROBERT W. BAIRD & CO. INCORPORATED

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158Charlotte, NC 28209

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