Guy Mccauley

CORNERSTONE FINANCIAL GROUP

Appleton, WI 54911

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CRD#: 6267964

Professional summary

Guy Mccauley, who also goes by Guy Raymond Mccauley, Guy Mccauley, is a registered financial advisor currently at CORNERSTONE FINANCIAL GROUP located in Appleton, Wisconsin.

Guy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Guy has worked at 6 firms and has passed the Series 66, Series 63, Series 6TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Guy Raymond Mccauley | Guy 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) United Healthcare Medicare Insurance. Not Investment Related. 158 East Northland Ave, Appleton, WI 54914. Health Care Insurance. Agent. No relationship with other business. 9/1/2021. Hrs/month 5-10 all during trading hours. I review medicare insurance to determine if i need to assist or not. 2) Cornerstone Enterprises, LLC dba Cornerstone Financial Group LLC. Investment Related. 158 East Northland Ave, Appleton, WI 54914. RIA. Investment Advisor / Financial Advisor. 01/2023. Hrs/month 160 all during trading hours. Provide Financial advice. 3) Fixed Insurance; Investment Related; DePere, WI; Agent; Life, DI, LTC, Annuities, Group, Health; Start Date: 09/01/2021; 20 hrs per month; 10 during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Guy Mccauley'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 3, 2023 - Present

CORNERSTONE FINANCIAL GROUP

Office #1: 158 E Northland Ave, Appleton, WI 54911Office #2: 525 Fourth Street, Algoma, WI 54201

RIA

CRD#: 324255

Appleton, WI

Past

January 20, 2023 - October 11, 2024

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

Appleton, WI

Past

December 23, 2019 - January 6, 2023

PRINCIPAL SECURITIES, INC.

RIA

CRD#: 1137

Appleton, WI

Past

December 16, 2019 - January 6, 2023

PRINCIPAL SECURITIES, INC.

CRD#: 1137

Appleton, WI

Past

February 16, 2018 - December 12, 2019

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

De Pere, WI

Past

February 12, 2018 - December 12, 2019

MML INVESTORS SERVICES, LLC

CRD#: 10409

De Pere, WI

Past

June 23, 2017 - February 1, 2018

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

APPLETON, WI

Past

May 22, 2017 - February 1, 2018

PRUCO SECURITIES, LLC.

CRD#: 5685

APPLETON, WI

Past

April 1, 2014 - May 24, 2017

THRIVENT INVESTMENT MANAGEMENT INC.

RIA

CRD#: 18387

GREEN BAY, WI

Past

March 13, 2014 - May 24, 2017

THRIVENT INVESTMENT MANAGEMENT INC.

CRD#: 18387

GREEN BAY, WI

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".

CORNERSTONE FINANCIAL GROUP

CORNERSTONE ENTERPRISES, LLC | CORNERSTONE FINANCIAL GROUP

CRD#: 324255 / SEC#: 801-127126

RIA

Registered Investment Advisory firm - (1/3/2023 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

Florida
(6/12/2023)

IAR

Wisconsin
(1/3/2023)

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 66

Date: 3/31/2014

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/7/2014

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/13/2014

General Securities Representative Examination

Current Firm

CORNERSTONE FINANCIAL GROUP

CORNERSTONE ENTERPRISES, LLC | CORNERSTONE FINANCIAL GROUP

CRD#: 324255 / SEC#: 801-127126

RIA

Registered Investment Advisory firm - (1/3/2023 Approved)

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Contact information

Main Address

158 E Northland Ave, Appleton, WI 54911

Mailing Address

Phone number

(920) 832-3821

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - FIRM BROCHURE - CORNERSTONE ENTERPRISES, LLC DBA CORNERSTONE FINANCIAL GROUP (2/24/2025)

Regulatory assets under management

Total Number of Accounts	1,386
AUM (Assets Under Management)	$ 183,820,785

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.

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Advisor Monitoring

Firm Stability Insights

Guy Mccauley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Guy Mccauley's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

PRINCIPAL SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

THRIVENT INVESTMENT MANAGEMENT INC.

THRIVENT INVESTMENT MANAGEMENT INC.

Primary Firm SEC Registration

CORNERSTONE FINANCIAL GROUP

State Registrations and Notice Filings

Exams

Series 66

Date: 3/31/2014

Series 63

Date: 3/7/2014

Series 6TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 3/13/2014

Current Firm

CORNERSTONE FINANCIAL GROUP

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CORNERSTONE FINANCIAL GROUP

TRUST BUT VERIFY

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