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John W Mcauley

Robert W. Baird & Co. Incorporated

Charlotte, NC

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Current Employers
Robert W. Baird & Co. Incorporated

777 E. Wisconsin Avenue, Milwaukee, WI 53202-5391 • United States

Current Registrations

AuthorityCategoryStatusDate
WA RA APPROVED 2026-07-16
IL RA APPROVED 2026-07-15
FL RA APPROVED 2026-07-14
GA RA APPROVED 2026-07-14
SC RA APPROVED 2026-07-14
CA RA APPROVED 2026-07-13
ME RA APPROVED 2026-07-13
NY RA APPROVED 2026-07-13
NC RA APPROVED 2026-07-13
VA RA APPROVED 2026-07-13
  • WA RA
    APPROVED
    Since 2026-07-16
  • IL RA
    APPROVED
    Since 2026-07-15
  • FL RA
    APPROVED
    Since 2026-07-14
  • GA RA
    APPROVED
    Since 2026-07-14
  • SC RA
    APPROVED
    Since 2026-07-14
  • CA RA
    APPROVED
    Since 2026-07-13
  • ME RA
    APPROVED
    Since 2026-07-13
  • NY RA
    APPROVED
    Since 2026-07-13
  • NC RA
    APPROVED
    Since 2026-07-13
  • VA RA
    APPROVED
    Since 2026-07-13

Branch Locations

4350 Congress St Suite 400, Charlotte, NC 28209 • 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
Sterling Capital Distributors, Inc. King Of Prussia PA 07/2011 07/2026
Sterling Capital Management Llc Charlotte NC 07/2011 07/2026
Robert W. Baird & Co. Incorporated Charlotte NC 07/2026 Present
Previous Registrations
  • 2013-04-16 → 2026-07-15
    Sterling Capital Management Llc
    Charlotte, NC
  • 2010-11-05 → 2011-09-16
    Oak Associates Ltd
    Akron, OH
  • 2005-10-19 → 2008-12-11
    William Blair
    Chicago, IL
    Chicago, IL
  • 2005-04-12 → 2005-09-20
    Bofa Advisors, Llc
    Boston, MA
  • 2004-08-30 → 2005-04-12
    Columbia Management Advisors, Inc.
    Boston, MA
  • 2003-11-18 → 2004-09-02
    Banc Of America Investment Services, Inc.
    Raleigh, NC
  • 2003-01-01 → 2003-08-18
    Bacap Distributors, Llc
    Charlotte, NC
  • 2001-08-28 → 2003-01-01
    Stephens
    Charlotte, NC
Other Businesses

Executor to Josephine Bayly McAuley estate Executor to James N Fox estate

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-07-23
S63 Uniform Securities Agent State Law Examination 2000-04-17
  • S65 Uniform Investment Adviser Law Examination
    2001-07-23
  • S63 Uniform Securities Agent State Law Examination
    2000-04-17
Other Names
  • John W Mcauley Iii
  • John William Mcauley Iii
  • John William Mcauley
  • John W Mcauley

View on SEC IAPD

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