Individual Firm
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THOMAS WILLIAM MCAULIFFE
CRD#: 1556918
IA
B
CONSCIOUS CAPITAL WEALTH MANAGEMENT, LLCCRD#: 174670 San Rafael, CA
0
Disclosures
38
Years of Experience
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State Registrations
IA
California 5/5/2023
IA
Registered with this firm since 5/5/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/27/2020 - 05/03/2023 | San Rafael, CA | |
B | 04/22/1994 - 11/04/2020 | SAN RAFAEL, CA | |
IA | 11/06/2017 - 10/23/2020 | San Rafael, CA | |
IA | 12/31/1997 - 03/16/2018 | SAN RAFAEL, CA | |
B | 07/31/1993 - 05/16/1994 | NEW YORK, NY | |
B | 09/29/1986 - 07/31/1993 | NEW YORK, NY |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.