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RIA / WealthAdvisor33 years in industry

JAMES THOMAS CAULFIELD

Advisor at SHAMROCK FINANCIAL SERVICES

WILMINGTON, NC | WOODCLIFF LAKE, NJ

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Search this name across graphsid dfx:ria:09ad44b6-0df5-4f6e-5f87-814ceff71d30

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:29 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Mar 11, 2002 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: SHAMROCK FINANCIAL SERVICES
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 27, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 3
Exams: S65|S63
First exam: Jul 27, 1993
First registration: Mar 11, 2002
Dual registered: no
Other names: SEAMUS CAULFIELD|JAMES CAULFIELD|JAMES THOMAS CAULFIELD|SEAMUS THOMAS CAULFIELD
IAPD individual key: 2364632

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
SHAMROCK FINANCIAL SERVICES	State registered	Jun 23, 2020	n/a	yes	WILMINGTON, NC\|WOODCLIFF LAKE, NJ	Current employment
SHAMROCK FINANCIAL SERVICES	State registered	Oct 29, 2012	Dec 31, 2019	no	WOODCLIFF LAKE, NJ	Previous registration
SHAMROCK FINANCIAL SERVICES	State registered	Nov 12, 2009	Aug 22, 2011	no	CARLSBAD, CA	Previous registration
BROKERSXPRESS LLC	Former SEC adviser	Dec 10, 2007	Oct 30, 2009	no	CARLSBAD, CA\|CARLSBAD, CA\|NEWBURY PARK, CA	Previous registration
MADISON AVENUE ADVISORS, INC.	n/a	Jan 19, 2007	Dec 6, 2007	no	CARLSBAD, CA	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Mar 11, 2002	Jan 30, 2007	no	CARLSBAD, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
BROKERSXPRESS LLC	SHAMROCK FINANCIAL SERVICES	Oct 30, 2009	Nov 12, 2009	13	Firm change	Other
MADISON AVENUE ADVISORS, INC.	BROKERSXPRESS LLC	Dec 6, 2007	Dec 10, 2007	4	Firm change	Other
LPL FINANCIAL LLC	MADISON AVENUE ADVISORS, INC.	Jan 30, 2007	Jan 19, 2007	-11	Firm change	Other

Relationships

Registered with (4)

→ SHAMROCK FINANCIAL SERVICESRegistered adviserregistration: previous registration
Oct 29, 2012 to Dec 31, 2019factForm ADV
→ BROKERSXPRESS LLCRegistered adviserregistration: previous registration
Dec 10, 2007 to Oct 30, 2009factForm ADV
→ MADISON AVENUE ADVISORS, INC.Registered adviserregistration: previous registration
Jan 19, 2007 to Dec 6, 2007factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Mar 11, 2002 to Jan 30, 2007factForm ADV

Dated events

No dated event names this entity yet.