John G. Mcauliffe
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
John Goodwin Mcauliffe was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1979. John had worked at 4 firms and has passed the Series 63, Series 3, Series 15 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 13, 2017 - December 31, 2024
MCAULIFFE CAPITAL MANAGEMENT
September 4, 1990 - February 13, 1991
WELLS FARGO CLEARING SERVICES, LLC
March 3, 1988 - September 4, 1990
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
July 20, 1983 - March 7, 1988
DREXEL BURNHAM LAMBERT INCORPORATED
July 26, 1979 - August 1, 1983
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 15
Date: 1/26/1984
Foreign Currency Options ExaminationCurrent Firm
MCAULIFFE CAPITAL MANAGEMENT
CRD#: 125807 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 126 |
| AUM (Assets Under Management) | $ 23,500,000 |
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.
