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138 Sam Hill Road P. O. Box 409, Guilford, CT 06437 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2014-08-27 |
Branch Locations
138 Sam Hill Road P. O. Box 409, Guilford, CT 06437 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wrp Investments, Inc. | Youngstown | OH | 03/2006 | Present |
| Mccauley Investment Advisors Llc | Guilford | CT | 05/2014 | Present |
| Sterne Agee Financial Services, Inc. | Guliford | CT | 09/2014 | Present |
| Sterne Agee Investment Advisor Services, Inc. | Birmingham | AL | 01/2015 | Present |
1)MCCAULEY INVESTMENT SERVICES, PO BOX 409, GUILFORD, CT 06437: SOLE PROPRIETORSHIP, NATURE OF BUS: TERM/LTC/HEALTH INS, TITLE: OWNER, DUTIES: OWNER/SALES, TIME SPENT: 10%, COMPENSATION: COMMISSIONS, 2)MCCAULEY INVESTMENT ADVISORS LLC, 2415 BOSTON POST RD STE 13, PO BOX 409, GUILFORD CT 06437: NATURE OF BUS: REG INVESTMENT ADVISOR, TITLE: PRINCIPAL OWNER, DUTIES: OWNER/CHIEF COMPLIANCE OFFICER, TIME SPENT: 50%, COMPENSATION: YES
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-12-22 |
| S63 | Uniform Securities Agent State Law Examination | 1984-08-24 |
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