Patrick C. Mccauley
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.
Patrick Corcoran Mccauley was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 2006. Patrick had worked at 3 firms and has passed the Series 63, Series 65, SIE, Series 82 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 18, 2014 - May 19, 2022
CAPITAL DYNAMICS BROKER DEALER LLC
January 6, 2009 - December 31, 2009
ETF ASSOCIATES, LLC
November 3, 2006 - September 15, 2008
LINCOLN FINANCIAL DISTRIBUTORS, INC.
August 22, 2006 - September 15, 2008
LINCOLN FINANCIAL DISTRIBUTORS, INC.
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
CAPITAL DYNAMICS BROKER DEALER LLC
CRD#: 148780 / SEC#: , 8-68071
Contact information
FINRA licenses (53 States and Territories)
Documents
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.
