JM
John J. Mccauley
SILVER GROVE ADVISORY SERVICES
Orchard Park, NY 14127
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CRD#: 6092880
JM
Professional summary
John Joseph Mccauley III, who also goes by John J Mccauley, John Mccauley, is a registered financial advisor currently at SILVER GROVE ADVISORY SERVICES located in Orchard Park, New York.
John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. John has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
John J Mccauley | John 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.
1. 03/31/2015 - SILVERGROVE FINANCIAL GROUP, INC. - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - 100% - ORCHARD PARK, NY 2. 04/15/2016 * specific solutions & other agencies * Non-Variable Insurance * INV REL * AT REPORTED BUSINESS LOCATION(S) * START 03/01/2016 * Independent agent * 20 HRS/MO; 5 HRS/MO DURING SECS TRDG HRS. 3. 4/6/2017 - Silver Grove Financial Group, Inc. - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Start Date: 04/01/2017 - 80 Hours Per Month/80 Hours During Securities Trading - I provide investment advisory services through Silver Grove Advisory Services Inc, an investment advisor firm. I started this business activity on 4/6/2017. I expect to spend approximately 80 hours/month on this activity. Please see the advisory firms Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
CRS (Client Relationship Summary) - RIA
Click below to view John Joseph Mccauley III's 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®
NoneExperience
Current
August 12, 2021 - Present
SILVER GROVE ADVISORY SERVICES
Office #1: 400 Sterling Drive, Orchard Park, NY 14127RIA
CRD#: 287512
Orchard Park, NY
Past
March 31, 2015 - August 31, 2017
LPL FINANCIAL LLC
RIA
CRD#: 6413
ORCHARD PARK, NY
Past
March 31, 2015 - February 10, 2022
LPL FINANCIAL LLC
BD
CRD#: 6413
ORCHARD PARK, NY
Past
January 22, 2015 - March 26, 2015
NEWPORT COAST SECURITIES, INC.
RIA
CRD#: 16944
NEW YORK, NY
Past
January 17, 2015 - March 26, 2015
NEWPORT COAST SECURITIES, INC.
BD
CRD#: 16944
NEW YORK, NY
Past
September 11, 2012 - October 14, 2014
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
WILLIAMSVILLE, NY
Past
August 2, 2012 - October 14, 2014
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
WILLIAMSVILLE, NY
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".
SG
SILVER GROVE ADVISORY SERVICES
SIGNATURE SOLUTIONS FINANCIAL GROUP, LLC | TURNING TIDES FINANCIAL, LLC | SILVER GROVE FINANCIAL GROUP, INC. | SILVER GROVE ADVISORY SERVICES
CRD#: 287512 / SEC#: 801-110045
RIA
Registered Investment Advisory firm - (3/9/2017 Approved)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
New York(8/12/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
SG
SILVER GROVE ADVISORY SERVICES
SIGNATURE SOLUTIONS FINANCIAL GROUP, LLC | TURNING TIDES FINANCIAL, LLC | SILVER GROVE FINANCIAL GROUP, INC. | SILVER GROVE ADVISORY SERVICES
CRD#: 287512 / SEC#: 801-110045
RIA
Registered Investment Advisory firm - (3/9/2017 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
400 Sterling Drive, Orchard Park, NY 14127
Mailing Address
Phone number
(716) 800-4291
Established
Firm type
Fiscal year end
# of Employees
15
SEC notice filing (11 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,582 |
| AUM (Assets Under Management) | $ 326,596,386 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
SILVER GROVE ADVISORY SERVICES
CRD#: 287512Orchard Park, NY 14127TRUST BUT VERIFY
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