Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Tomas McCauley is a financial advisor with over 30 years of experience in the industry. John is registered with Wells Fargo Clearing Services, LLC, and has been with the firm since January 2016. Previously, John was registered with Deutsche Bank Securities Inc. and UBS Financial Services Inc. John has a strong background in financial planning and portfolio management. John's expertise includes portfolio management for individuals and businesses, investment consulting services to institutional clients, pension consulting and selection of other advisors. John holds the Series 3, 7, 8, 9, 10, 63, and 65 licenses as well as the SIE designation. John is a Certified Financial Planner (CFP).
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
TX
01/20/2016 - Present
Wells Fargo Clearing Services, LLC (THE WOODLANDS TX)
TX
05/17/2010 - 02/01/2016
DEUTSCHE BANK SECURITIES INC. (HOUSTON TX)
TX
12/09/1991 - 04/08/2010
UBS FINANCIAL SERVICES INC. (DALLAS TX)
IA
Issued 09/21/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/11/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 06/04/1998
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/28/2016
Series 3 - National Commodity Futures Examination
BC
Issued 12/05/1991
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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