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AM

Alexander W. Mccaulley

METLIFE INVESTMENTS SECURITIES
Philadelphia, PA 16103
Some features on this profile are disabled
CRD#: 6589568
AM

Professional summary

Alexander W Mccaulley, who also goes by Alex Mccaulley, is a registered financial professional currently at METLIFE INVESTMENTS SECURITIES, LLC located in Philadelphia, Pennsylvania.

Alexander is registered as a RR (Registered Representative) and started their career in finance in 2017. Alexander has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Alex Mccaulley

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 Alexander W Mccaulley'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

December 22, 2021 - Present

METLIFE INVESTMENTS SECURITIES, LLC

Office #1: 1717 Arch Street Suite 1500, Philadelphia, PA 16103
BD
CRD#: 285684
Philadelphia, PA
Past

March 13, 2018 - November 26, 2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
PENNINGTON, NJ
Past

April 4, 2017 - November 26, 2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

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
New Jersey
(12/22/2021)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/12/2018
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/4/2017
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

MI
METLIFE INVESTMENTS SECURITIES, LLC
METLIFE INVESTMENTS SECURITIES, LLC

CRD#: 285684 / SEC#: , 8-69857

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
One Metlife Way, Whippany, NJ 07981-1449
Mailing Address
One Metlife Way, Whippany, NJ 07981-1449
Phone number
(973) 355-4000
Established
Delaware since 08/31/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
METLIFE INVESTORS GROUP, LLCSOLE MEMBER
HICKMAN, FRANK IIICHIEF COMPLIANCE OFFICER5056648
POLLARO, JOSEPH PATRICKPRESIDENT/CEO1910072
SERAFIN, ROBERT HPRINCIPAL OPERATIONS OFFICER2427123
YICK, MICHAEL JOHNCFO/FINOP & PRINCIPAL FINANCIAL OFFICER4187342

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.

Company Information

METLIFE INVESTMENTS SECURITIES, LLC

CRD#: 285684Philadelphia, PA 16103

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