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WM

William H. Mccauley

REGIONAL INVESTMENT SERVICES
Orlando, FL 32801
Some features on this profile are disabled
CRD#: 5267440
WM

Professional summary

William Hugh Mccauley JR, who also goes by William Hugh Mccauley Jr., William Hugh Mccauley, William Mccauley, is a registered financial professional currently at REGIONAL INVESTMENT SERVICES, INC. located in Orlando, Florida.

William is registered as a RR (Registered Representative) and started their career in finance in 2007. William has worked at 10 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 24 and Series 27 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

William Hugh Mccauley Jr. | William Hugh Mccauley | William 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view William Hugh Mccauley JR'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®
None

Experience

Current

January 5, 2022 - Present

REGIONAL INVESTMENT SERVICES, INC.

Office #1: 333 S Garland Ave. Suite 1500, Orlando, FL 32801
BD
CRD#: 46929
Orlando, FL
Past

February 15, 2019 - January 27, 2020

IFP SECURITIES, LLC

BD
CRD#: 297287
TAMPA, FL
Past

July 13, 2018 - April 3, 2019

LPL FINANCIAL LLC

BD
CRD#: 6413
TAMPA, FL
Past

January 26, 2016 - January 26, 2017

TRANSAMERICA CAPITAL, LLC

BD
CRD#: 8217
ST. PETERSBURG, FL
Past

August 20, 2014 - September 9, 2015

CLARK SECURITIES, INC.

BD
CRD#: 43803
GREENSBORO, NC
Past

May 2, 2012 - January 19, 2017

TRANSAMERICA FINANCIAL ADVISORS, LLC

BD
CRD#: 16164
ST PETERSBURG, FL
Past

March 19, 2008 - April 17, 2012

MMLISI FINANCIAL ALLIANCES, LLC

BD
CRD#: 119003
SPRINGFIELD, MA
Past

December 7, 2007 - April 17, 2012

MML DISTRIBUTORS, LLC

BD
CRD#: 38030
SPRINGFIELD, MA
Past

December 6, 2007 - April 17, 2012

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
SPRINGFIELD, MA
Past

March 19, 2007 - December 5, 2007

SIGNATOR INVESTORS, INC.

BD
CRD#: 468
BOSTON, MA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Alabama
(11/25/2025)
RR
Alaska
(11/25/2025)
RR
Arizona
(11/25/2025)
RR
Arkansas
(11/25/2025)
RR
California
(11/25/2025)
RR
Colorado
(11/25/2025)
RR
Connecticut
(11/25/2025)
RR
Delaware
(11/25/2025)
RR
District of Columbia
(11/25/2025)
RR
Florida
(1/5/2022)
RR
Georgia
(11/25/2025)
RR
Hawaii
(11/25/2025)
RR
Idaho
(11/25/2025)
RR
Illinois
(11/25/2025)
RR
Indiana
(11/25/2025)
RR
Iowa
(11/25/2025)
RR
Kansas
(11/25/2025)
RR
Kentucky
(11/25/2025)
RR
Louisiana
(11/25/2025)
RR
Maine
(11/25/2025)
RR
Maryland
(11/25/2025)
RR
Massachusetts
(11/25/2025)
RR
Michigan
(11/25/2025)
RR
Minnesota
(11/25/2025)
RR
Mississippi
(11/25/2025)
RR
Missouri
(11/25/2025)
RR
Montana
(11/25/2025)
RR
Nebraska
(11/25/2025)
RR
Nevada
(11/25/2025)
RR
New Hampshire
(11/25/2025)
RR
New Jersey
(11/25/2025)
RR
New Mexico
(11/25/2025)
RR
New York
(11/25/2025)
RR
North Carolina
(11/26/2025)
RR
North Dakota
(11/25/2025)
RR
Ohio
(11/26/2025)
RR
Oklahoma
(11/25/2025)
RR
Oregon
(11/25/2025)
RR
Pennsylvania
(11/25/2025)
RR
Rhode Island
(11/25/2025)
RR
South Carolina
(11/25/2025)
RR
South Dakota
(11/25/2025)
RR
Tennessee
(11/25/2025)
RR
Texas
(11/25/2025)
RR
Utah
(11/25/2025)
RR
Vermont
(11/25/2025)
RR
Virginia
(11/25/2025)
RR
Washington
(11/25/2025)
RR
West Virginia
(11/25/2025)
RR
Wisconsin
(11/25/2025)
RR
Wyoming
(11/25/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 12/11/2020
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/16/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/23/2008
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/26/2008
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 3/17/2007
Financial and Operations Principal Examination
SRO Registrations
RR
FINRA

Current Firm

RI
REGIONAL INVESTMENT SERVICES, INC.
REGIONAL INVESTMENT SERVICES, INC.

CRD#: 46929 / SEC#: , 8-51588

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
Loading...

Contact information

Main Address
2101 Park Center Drive Suite 290, Orlando, FL 32835
Mailing Address
2101 Park Center Drive Suite 290, Orlando, FL 32835
Phone number
(407) 630-8725
Established
Ohio since 01/19/1999
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
LONGEVITY MARKET ADVISORS, LLCOWNER
MCCAULEY, WILLIAM HUGH JRCFO5267440
MCCAULEY, WILLIAM HUGH JRPRESIDENT5267440
MILNE, RALPH AAMLCO6034910
RAND, PAIGE WOODSUMCHIEF COMPLIANCE OFFICER4520907

Disclosures

Arbitration1

Red Flags

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Company Information

REGIONAL INVESTMENT SERVICES, INC.

CRD#: 46929Orlando, FL 32801

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