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Sean William Mccauley

Rfg Advisory, LLC

Southlake, TX

Vestavia Hills, AL

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Current Employers
Rfg Advisory, Llc

1400 Urban Center Drive Suite 475, Vestavia Hills, AL 35242-2245 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2023-03-06
  • TX RA
    APPROVED
    Since 2023-03-06

Branch Locations

550 Reserve Street Suite 190, Southlake, TX 76092 • United States

1400 Urban Center Drive Suite 475, Vestavia Hills, AL 35242-2245 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. Fort Worth TX 04/2016 03/2023
Rfg Advisory, Llc Fort Worth TX 03/2023 Present
Private Client Services Southlake TX 03/2023 12/2025
  • 04/2016 → 03/2023
    Ameriprise Financial Services, Inc.
    Fort Worth, TX
  • 03/2023 → Present
    Fort Worth, TX
  • 03/2023 → 12/2025
    Private Client Services
    Southlake, TX
Previous Registrations
  • 2016-04-27 → 2023-03-19
    Fort Worth, TX
    Fort Worth, TX
  • 2014-02-27 → 2016-04-29
    Usaa Financial Planning Services
    Addison, TX
  • 2012-02-08 → 2014-01-02
    Td Ameritrade, Inc.
    Westlake, TX
  • 2012-02-08 → 2014-01-02
    Td Ameritrade Investment Management, Llc
    Fort Worth, TX
  • 2010-07-27 → 2011-06-20
    Chase Investment Services Corp.
    Ft. Worth, TX
  • 2010-03-01 → 2010-05-06
    Colleyville, TX
    St Louis, MO
Other Businesses

1) Cross Timbers Financial Group. 550 Reserve Street, Suite 190, Southlake, TX 76092. DBA. Owner/Dually Registered Advisor/RIA/Agent. 160 hrs/mo; 160 during trading hrs. 2) Financial Independence Group (FIG). 19520 W Catawba Ave, Suite 200, Cornelius, NC 28031. Variable/Life Insurnace. Agent. 80 hrs/mo; 80 during trading hrs. 3) RFG Advisory LLC. 1400 Urban Center Drive, Suite 475, Vestavia Hills, AL 35242. RIA. 160 hrs/mo; 160 during trading hrs.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-02-26
  • S66 Uniform Combined State Law Examination
    2010-02-26
Designations
Other Names
  • Sean Mccauley
  • Sean William Mccauley
  • Sean W Mccauley

View on SEC IAPD

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