Michael S Mccauley | Financial Professional

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.

Michael S Mccauley, who also goes by Michael Stanley Mccauley Jr., Michael Stanley Mccauley, was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 2002. Michael had worked at 10 firms and has passed the Series 65, Series 66, Series 63, Series 6TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

No

Aliases

Michael Stanley Mccauley Jr. | Michael Stanley 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.

. ADJUNCT PROFESSOR OR PROFESSOR OF BUSINESS, LIVONIA, MI, 01/29/2019. TEACHING BUSINESS COURSES AT VARIOUS EDUCATIONAL INSTITUTIONS. NIR-24/MO-0/TRADING. 2. STRATEGIC SOLUTIONS FINANCIAL & TAX SERVICES LLC, 29668 ORION CT, FARMINGTON HILLS, MI, 01/29/2019. PROVIDE TAX SERVICES. NIR-8/WK-0/TRADING. 3. CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL-40/WK-40/TRADING. 01/29/19. 4. RWS FINANCIAL GROUP, 32003 PLYMOUTH RD, LIVONIA, MI, 01/29/2019. INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. NIR-40/WK-40/TRADING. 5. WHITE GLOVE WORKSHOPS, 390 PARK ST STE 250, BIRMINGHAM, MI, 04/01/2019. AS PRESENTER. NIR-10/MO-2/TRADING.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 5, 2019 - August 23, 2022

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

Mt. Pleasant, WI

Past

February 4, 2019 - August 23, 2022

CAMBRIDGE INVESTMENT RESEARCH, INC.

BD

CRD#: 39543

Mount Pleasant, WI

Past

October 24, 2011 - December 10, 2018

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

LIVONIA, MI

Past

September 14, 2011 - December 10, 2018

CETERA WEALTH SERVICES, LLC

BD

CRD#: 13572

LIVONIA, MI

Past

July 16, 2010 - May 26, 2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD

CRD#: 7691

FARMINGTON HILLS, MI

Past

December 7, 2007 - July 28, 2008

AUTO CLUB FUNDS, INC.

BD

CRD#: 10580

DEARBORN, MI

Past

April 6, 2006 - December 5, 2007

IFMG SECURITIES, INC.

BD

CRD#: 14416

CLARKSTON, MI

Past

May 9, 2005 - February 21, 2006

COMERICA SECURITIES

RIA

CRD#: 17079

DETROIT, MI

Past

May 9, 2005 - February 21, 2006

COMERICA SECURITIES

BD

CRD#: 17079

DETROIT, MI

Past

May 2, 2005 - May 4, 2005

BANC ONE SECURITIES CORPORATION

RIA

CRD#: 16999

DEARBORN, MI

Past

November 16, 2004 - May 4, 2005

BANC ONE SECURITIES CORPORATION

BD

CRD#: 16999

CHICAGO, IL

Past

May 5, 2004 - December 10, 2004

STATE FARM VP MANAGEMENT CORP.

BD

CRD#: 43036

BLOOMINGTON, IL

Past

February 14, 2002 - January 9, 2004

CHARTER ONE SECURITIES, INC.

BD

CRD#: 13373

CLEVELAND, OH

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".

CI

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CRD#: 134139 / SEC#: 801-63930

RIA

Registered Investment Advisory firm - (2/3/2005 Approved)

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.

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: 10/21/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

RR

IAR

Series 66

Date: 4/28/2005

Uniform Combined State Law Examination

State Security Law Exam

RR

Series 63

Date: 2/27/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

RR

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 7

Date: 2/13/2002

General Securities Representative Examination

Current Firm

CI

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CRD#: 134139 / SEC#: 801-63930

RIA

Registered Investment Advisory firm - (2/3/2005 Approved)

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Contact information

Main Address

1776 Pleasant Plain Rd., Fairfield, IA 52556-8757

Mailing Address

Phone number

(641) 472-5100

Established

Firm type

Fiscal year end

# of Employees

3,361

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CIRA ADV 2A (9/8/2025)

WEALTHPORT WRAP BROCHURE (9/8/2025)

Regulatory assets under management

Total Number of Accounts	438,414
AUM (Assets Under Management)	$ 102,413,096,032

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/09/2024	Cover Page	Report
04/29/2024	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.

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Advisor Monitoring

Firm Stability Insights

Michael S. Mccauley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CAMBRIDGE INVESTMENT RESEARCH, INC.

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

AUTO CLUB FUNDS, INC.

IFMG SECURITIES, INC.

COMERICA SECURITIES

COMERICA SECURITIES

BANC ONE SECURITIES CORPORATION

BANC ONE SECURITIES CORPORATION

STATE FARM VP MANAGEMENT CORP.

CHARTER ONE SECURITIES, INC.

Primary Firm SEC Registration

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/21/2011

Series 66

Date: 4/28/2005

Series 63

Date: 2/27/2002

Series 6TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 2/13/2002

Current Firm

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

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