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John Thomas McCauley

Investment Adviser Representative at VICTORY CAPITAL MANAGEMENT INC.

Cleveland, OHCRD #2999241Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
28 yrs
States Registered
11 states
Exams Passed
6

Professional summary

Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.

John Thomas Mccauley has worked in the securities industry since 1998. They are registered to provide investment advisory services in 11 U.S. states.

Registrations & licenses

Registration type
Dual-registered
Registered in 11 states
CaliforniaIllinoisIndianaKentuckyMichiganMinnesotaMissouriOhioPennsylvaniaVirgin IslandsWisconsin
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 4/21/2004
Series 63
Uniform Securities Agent State Law Examination
Passed 2/27/1998
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 31
Futures Managed Funds Examination
Passed 3/24/1998
Series 7
General Securities Representative Examination
Passed 2/19/1998
Series 24
General Securities Principal Examination
Passed 8/8/2022

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Source

Victory Capital Management Inc. Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

VICTORY CAPITAL MANAGEMENT INC.Current
6/17/2004Cleveland, OH
VICTORY CAPITAL SERVICES, INC.Current
1/2/2004Avon Lake, OH
FUNDS DISTRIBUTOR, INC.
3/2/20067/26/2007Cleveland, OH
BISYS FUND SERVICES LIMITED PARTNERSHIP
12/10/20019/30/2003Portland, ME
MORGAN STANLEY DW INC.
2/20/199811/7/2001Purchase, NY

Official records & sources

Data as of June 21, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. John Thomas McCauley has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

John Thomas McCauley - Financial Advisor in Cleveland, OH | AdvisorFinder