Charles M. Cauley
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Charles Michael Cauley, CFP®, who also goes by Mike Cauley, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 2001. Charles had worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2002
Experience
October 25, 2019 - July 18, 2025
AVANTAX ADVISORY SERVICES
October 25, 2019 - July 18, 2025
AVANTAX INVESTMENT SERVICES, INC.
July 24, 2006 - October 25, 2019
1ST GLOBAL ADVISORS INC
June 14, 2006 - October 25, 2019
1ST GLOBAL CAPITAL CORP.
April 14, 2003 - June 15, 2006
LPL FINANCIAL LLC
January 9, 2001 - June 15, 2006
LPL FINANCIAL LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
AVANTAX ADVISORY SERVICES
CRD#: 104556 / SEC#: 801-29892
Contact information
Regulatory assets under management
| Total Number of Accounts | 140,306 |
| AUM (Assets Under Management) | $ 46,109,939,749 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/13/2024 | ||
| 11/28/2023 | ||
| 12/16/2022 |
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.
