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Registration History
2002200420062008201020122014201620182020202220242026IAMCCAULEY INVESTMENT ADVISORY, LLC (CRD# 166035)2013 - Present (12 years)IAPIONEER ADVISORS, LLC (CRD# 148958)2012 - 2013 (<1 year)IAAUSDAL FINANCIAL PARTNERS, INC. (CRD# 7995)2011 - 2012 (1 year)IAQA3 FINANCIAL LLC (CRD# 104957)2002 - 2011 (9 years)IATCG CONSULTING (CRD# 112685)2002 - 2003 (1 year)
Disclosure(s)
View By:
12/18/2001
Customer Dispute
Settled
License(s)

State Registrations

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Arizona 2/21/2013

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Texas 6/23/2015

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New Mexico 3/7/2024

Current Registration(s)
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MCCAULEY INVESTMENT ADVISORY, LLC (CRD#:166035)
SHOW LOW, AZ
Registered with this firm since 2/21/2013

Previous Registration(s)
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06/27/2012 - 03/26/2013 PIONEER ADVISORS, LLC (CRD#:148958) SCOTTSDALE, AZ
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02/11/2011 - 10/01/2012 AUSDAL FINANCIAL PARTNERS, INC. (CRD#:7995) CHANDLER, AZ
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02/15/2002 - 02/11/2011 QA3 FINANCIAL LLC (CRD#:104957) CHANDLER, AZ
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07/02/2002 - 09/25/2003 TCG CONSULTING (CRD#:112685) AUSTIN, TX
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Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.