Benjamin W. Cauley

CARR FINANCIAL GROUP

Worcester, MA 01605

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CRD#: 6590090

Professional summary

Benjamin William Cauley, CFP®, who also goes by Ben Cauley, is a registered financial advisor currently at CARR FINANCIAL GROUP located in Worcester, Massachusetts.

Benjamin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Benjamin has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ben Cauley

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.

NAME OF OBA: ASH BROKERAGE; ADDRESS OF OBA: AT REPORTED BUSINESS LOCATION(S); NATURE: NON-VARIABLE INSURANCE; INVESTMENT RELATED: YES; TITLE OR RELATIONSHIP WITH OBA: INDEPENDENT AGENT; DUTIES: PERIODICALLY SELL LIFE INSURANCE AND OTHER INSURANCE/FIXED ANNUITY PRODUCTS THROUGH INSURANCE BROKERAGES NOT AFFILIATED WITH LPL FINANCIAL; START DATE (MM/DD/YYYY): 10/25/2019; APPROX. NUMBER OF HOURS/MONTH: 4; APPROX. NUMBER OF HOURS/MONTH DURING TRADING HOURS: 4

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Benjamin William Cauley'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: 2018

Experience

Current

March 8, 2022 - Present

CARR FINANCIAL GROUP

Office #1: 20 Park Avenue Ste #201, Worcester, MA 01605

RIA

CRD#: 317321

Worcester, MA

Past

June 22, 2020 - September 22, 2021

LUCEY ADVISORY GROUP

RIA

CRD#: 287515

WORCESTER, MA

Past

April 12, 2016 - March 2, 2022

PRIVATE ADVISOR GROUP, LLC

RIA

CRD#: 155216

WORCESTER, MA

Past

February 15, 2016 - March 22, 2022

LPL FINANCIAL LLC

CRD#: 6413

WORCESTER, 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".

CARR FINANCIAL GROUP

CARR FINANCIAL GROUP | LUCEY ADVISORY GROUP DBA | CARR FINANCIAL GROUP CORPORATION

CRD#: 317321 / SEC#: 801-123187

RIA

Registered Investment Advisory firm - (2/7/2022 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

Massachusetts
(3/8/2022)

IAR

Texas
(7/19/2022)

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: 3/24/2016

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/15/2016

General Securities Representative Examination

Current Firm

CARR FINANCIAL GROUP

CARR FINANCIAL GROUP | LUCEY ADVISORY GROUP DBA | CARR FINANCIAL GROUP CORPORATION

CRD#: 317321 / SEC#: 801-123187

RIA

Registered Investment Advisory firm - (2/7/2022 Approved)

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Contact information

Main Address

20 Park Avenue Ste #201, Worcester, MA 01605

Mailing Address

Phone number

(508) 795-0264

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

07 18 2025 CAR FORM ADV 2A AND 2B FINAL (7/18/2025)

Regulatory assets under management

Total Number of Accounts	1,429
AUM (Assets Under Management)	$ 648,435,946

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
05/29/2025	Cover Page	Report
11/20/2024	Cover Page	Report
05/30/2024	Cover Page	Report
05/26/2023	Cover Page	Report

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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Benjamin W. Cauley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Benjamin William Cauley's CRS (Customer Relationship Summary).

Certified licenses

Experience

LUCEY ADVISORY GROUP

PRIVATE ADVISOR GROUP, LLC

LPL FINANCIAL LLC

Primary Firm SEC Registration

CARR FINANCIAL GROUP

State Registrations and Notice Filings

Exams

Series 66

Date: 3/24/2016

SIE

Date: 10/1/2018

Series 7

Date: 2/15/2016

Current Firm

CARR FINANCIAL GROUP

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CARR FINANCIAL GROUP

TRUST BUT VERIFY

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