Mark D. Mcauley

GREAT OAK CAPITAL PARTNERS

SOUTH EASTON, MA 02375

Some features on this profile are disabled

CRD#: 5977054

Professional summary

Mark David Mcauley, CFP® is a registered financial advisor currently at GREAT OAK CAPITAL PARTNERS, LLC located in South Easton, Massachusetts.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Mark has worked at 3 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

President of MDM Financial Solutions, Inc which is a tax preparation firm. This position is non-investment related and is primarily seasonal (January - April).

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark David Mcauley'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®

CFP^®

Certified Financial Planner

Start date: 2020

Experience

Current

February 11, 2019 - Present

GREAT OAK CAPITAL PARTNERS, LLC

Office #1: 105r Depot Street Suite 5, South Easton, MA 02375

RIA

CRD#: 281045

SOUTH EASTON, MA

Past

November 8, 2012 - December 11, 2019

MDM FINANCIAL STRATEGIES

RIA

CRD#: 165653

RAYNHAM, MA

Past

October 17, 2011 - March 22, 2013

EQUITYTRUST

RIA

CRD#: 127412

RAYNHAM, MA

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".

GREAT OAK CAPITAL PARTNERS, LLC

GREAT OAK CAPITAL PARTNERS, LLC | OAKTREE CAPITAL PARTNERS, LLC

CRD#: 281045 / SEC#: 801-116681

RIA

Registered Investment Advisory firm - (5/24/2019 Approved)

Florida

Registered Investment Advisory firm - (5/28/2019 Terminated)

Massachusetts

Registered Investment Advisory firm - (5/28/2019 Terminated)

Rhode Island

Registered Investment Advisory firm - (5/28/2019 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Massachusetts
(2/11/2019)

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: 8/30/2011

Uniform Investment Adviser Law Examination

Current Firm

GREAT OAK CAPITAL PARTNERS, LLC

GREAT OAK CAPITAL PARTNERS, LLC | OAKTREE CAPITAL PARTNERS, LLC

CRD#: 281045 / SEC#: 801-116681

RIA

Registered Investment Advisory firm - (5/24/2019 Approved)

Florida

Registered Investment Advisory firm - (5/28/2019 Terminated)

Massachusetts

Registered Investment Advisory firm - (5/28/2019 Terminated)

Rhode Island

Registered Investment Advisory firm - (5/28/2019 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

105r Depot Street Suite 5, South Easton, MA 02375

Mailing Address

P.o. Box 909, South Easton, MA 02375

Phone number

(508) 230-7100

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GREAT OAK DISCLOSURE BROCHURE AND BROCHURE SUPPLEMENTS (1/23/2025)

Regulatory assets under management

Total Number of Accounts	1,760
AUM (Assets Under Management)	$ 390,331,995

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.

Similar Advisors

Martin Robbins

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Norwell, MA

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Mark D. Mcauley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark David Mcauley's CRS (Customer Relationship Summary).

Certified licenses

Experience

GREAT OAK CAPITAL PARTNERS, LLC

MDM FINANCIAL STRATEGIES

EQUITYTRUST

Primary Firm SEC Registration

GREAT OAK CAPITAL PARTNERS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/30/2011

Current Firm

GREAT OAK CAPITAL PARTNERS, LLC

Contact information

SEC notice filing (12 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GREAT OAK CAPITAL PARTNERS, LLC

TRUST BUT VERIFY

Similar Advisors