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RIA / WealthAdvisor42 years in industry

JOHN JOSEPH MCCAULEY

Advisor at MCCAULEY INVESTMENTS ADVISORS LLC

GUILFORD, CT

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:06 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jan 3, 2000 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: MCCAULEY INVESTMENTS ADVISORS LLC
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: Aug 24, 1984earliest registration or exam on IAPD
Years in industry: 42derivedfrom the industry start date
Years at current firm: 12derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Aug 24, 1984
First registration: Jan 3, 2000
Dual registered: no
IAPD individual key: 1275230

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
MCCAULEY INVESTMENTS ADVISORS LLC	State registered	Aug 27, 2014	n/a	yes	GUILFORD, CT	Current employment
STONEX ADVISORS INC.	Bd affiliated wealth	Jan 30, 2015	Nov 30, 2015	no	BIRMINGHAM, AL	Previous registration
STERNE AGEE INVESTMENT ADVISOR SERVICES, INC.	Former SEC adviser	Mar 8, 2006	Jan 30, 2015	no	MADISON, CT\|WINDSOR LOCKS, CT\|GULIFORD, CT\|YOUNGSTOWN, OH	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	May 28, 2004	Mar 9, 2006	no	MADISON, CT	Previous registration
MAIN STREET MANAGEMENT COMPANY	n/a	Jan 3, 2000	Jun 2, 2004	no	MADISON, CT	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
STONEX ADVISORS INC.	n/a	Nov 30, 2015	n/a	n/a	Departure no registered destination	Departure
STERNE AGEE INVESTMENT ADVISOR SERVICES, INC.	MCCAULEY INVESTMENTS ADVISORS LLC	Jan 30, 2015	Aug 27, 2014	-156	Firm change after gap	Other
LPL FINANCIAL LLC	STERNE AGEE INVESTMENT ADVISOR SERVICES, INC.	Mar 9, 2006	Mar 8, 2006	-1	Firm change	Other
MAIN STREET MANAGEMENT COMPANY	LPL FINANCIAL LLC	Jun 2, 2004	May 28, 2004	-5	Firm change	Other

Relationships

Registered with (5)

→ MCCAULEY INVESTMENTS ADVISORS LLCRegistered adviserregistration: current employment
Aug 27, 2014 to presentfactForm ADV
→ STONEX ADVISORS INC.Registered adviserregistration: previous registration
Jan 30, 2015 to Nov 30, 2015factForm ADV
→ STERNE AGEE INVESTMENT ADVISOR SERVICES, INC.Registered adviserregistration: previous registration
Mar 8, 2006 to Jan 30, 2015factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
May 28, 2004 to Mar 9, 2006factForm ADV
→ MAIN STREET MANAGEMENT COMPANYRegistered adviserregistration: previous registration
Jan 3, 2000 to Jun 2, 2004factForm ADV

Dated events

No dated event names this entity yet.