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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)24 years in industry

JOHN FRASER MCAULAY

Advisor at WELLS FARGO ADVISORS

CHATHAM, NJ | CARY, NC

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:41 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Dec 31, 2001 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: WELLS FARGO ADVISORS
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 16, 2001earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S66
First exam: Oct 16, 2001
First registration: Dec 31, 2001
Dual registered: yes, broker-dealer
Other names: JOHN FRASER MCAULAY|JOHN MCAULAY
IAPD individual key: 4439033

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
WELLS FARGO ADVISORS	Wirehouse	Jan 24, 2025	n/a	yes	CHATHAM, NJ\|CARY, NC	Current employment
LPL FINANCIAL LLC	Bd affiliated wealth	May 28, 2009	Feb 20, 2025	no	SAN DIEGO, CA\|CARY, NC\|MORRISVILLE, NC	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Feb 21, 2006	May 29, 2009	no	RALEIGH, NC\|NEW YORK, NY\|RALEIGH, NC	Previous registration
LEGG MASON WOOD WALKER, INCORPORATED	n/a	Dec 31, 2001	Feb 21, 2006	no	RALEIGH, NC	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
LPL FINANCIAL LLC	WELLS FARGO ADVISORS	Feb 20, 2025	Jan 24, 2025	-27	Firm change	Ibd to wirehouse
CITIGROUP GLOBAL MARKETS INC.	LPL FINANCIAL LLC	May 29, 2009	May 28, 2009	-1	Firm change	Other
LEGG MASON WOOD WALKER, INCORPORATED	CITIGROUP GLOBAL MARKETS INC.	Feb 21, 2006	Feb 21, 2006	0	Bulk transfer	Other

Relationships

Registered with (4)

→ WELLS FARGO ADVISORSRegistered adviserregistration: current employment
Jan 24, 2025 to presentfactForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
May 28, 2009 to Feb 20, 2025factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Feb 21, 2006 to May 29, 2009factForm ADV
→ LEGG MASON WOOD WALKER, INCORPORATEDRegistered adviserregistration: previous registration
Dec 31, 2001 to Feb 21, 2006factForm ADV

Dated events

Occurred
Feb 20, 2025
Advisor changed firm
John Fraser Mcaulay left Lpl Financial Llc for Wells Fargo Advisors (registered 2025-01-24)
Form ADVobserved 4 days ago