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RIA / WealthAdvisor36 years in industry

THOMAS CLAUDE COOK

Advisor at MCCAULEY INVESTMENT ADVISORY, LLC

SHOW LOW, AZ

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:48 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Feb 15, 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: MCCAULEY INVESTMENT ADVISORY, 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: Feb 12, 1990earliest registration or exam on IAPD
Years in industry: 36derivedfrom the industry start date
Years at current firm: 13derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 3
Exams: S63|S65
First exam: Feb 12, 1990
First registration: Feb 15, 2002
Dual registered: no
Other names: TOM COOK
IAPD individual key: 1002206

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 INVESTMENT ADVISORY, LLC	State registered	Feb 21, 2013	n/a	yes	SHOW LOW, AZ	Current employment
PIONEER ADVISORS, LLC	Former SEC adviser	Jun 27, 2012	Mar 26, 2013	no	SCOTTSDALE, AZ	Previous registration
AUSDAL FINANCIAL PARTNERS, INC.	Independent wealth	Feb 11, 2011	Oct 1, 2012	no	DOWNERS GROVE, IL\|CHANDLER, AZ\|DAVENPORT, IA	Previous registration
TCG ADVISORS, LP	Former SEC adviser	Jul 2, 2002	Sep 25, 2003	no	AUSTIN, TX	Previous registration
QA3 FINANCIAL LLC	n/a	Feb 15, 2002	Feb 11, 2011	no	CHANDLER, AZ\|OMAHA, NE\|CHANDLER, AZ\|CHANDLER, AZ	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
PIONEER ADVISORS, LLC	MCCAULEY INVESTMENT ADVISORY, LLC	Mar 26, 2013	Feb 21, 2013	-33	Firm change after gap	Other
AUSDAL FINANCIAL PARTNERS, INC.	PIONEER ADVISORS, LLC	Oct 1, 2012	Jun 27, 2012	-96	Firm change after gap	Other
QA3 FINANCIAL LLC	TCG ADVISORS, LP	Feb 11, 2011	Jul 2, 2002	-3,146	Firm change after gap	Other
TCG ADVISORS, LP	AUSDAL FINANCIAL PARTNERS, INC.	Sep 25, 2003	Feb 11, 2011	2,696	Firm change after gap	Other

Relationships

Registered with (5)

→ MCCAULEY INVESTMENT ADVISORY, LLCRegistered adviserregistration: current employment
Feb 21, 2013 to presentfactForm ADV
→ PIONEER ADVISORS, LLCRegistered adviserregistration: previous registration
Jun 27, 2012 to Mar 26, 2013factForm ADV
→ AUSDAL FINANCIAL PARTNERS, INC.Registered adviserregistration: previous registration
Feb 11, 2011 to Oct 1, 2012factForm ADV
→ QA3 FINANCIAL LLCRegistered adviserregistration: previous registration
Feb 15, 2002 to Feb 11, 2011factForm ADV
→ TCG ADVISORS, LPRegistered adviserregistration: previous registration
Jul 2, 2002 to Sep 25, 2003factForm ADV

Dated events

No dated event names this entity yet.