Michael J. Mccauley
Professional summary
Michael James Mccauley, who also goes by Michael J. Mccauley, Mike Mccauley, is a registered financial professional currently at GRIFFIN FINANCIAL GROUP, LLC located in King Of Prussia, Pennsylvania.
Michael is registered as a RR (Registered Representative) and started their career in finance in 2007. Michael has worked at 2 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael James Mccauley's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 1, 2019 - Present
GRIFFIN FINANCIAL GROUP, LLC
Office #1: 620 Freedom Business Center, King Of Prussia, PA 19406January 30, 2007 - January 3, 2018
PHOENIX IB
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/1/2019)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Nasdaq Stock Market
Current Firm
GRIFFIN FINANCIAL GROUP, LLC
CRD#: 119004 / SEC#: , 8-53711
Contact information
FINRA licenses (51 States and Territories)
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.
