Guy McCauley has been an investment adviser representative at Cornerstone Enterprises since January 2023, and is not listed among the firm’s executive officers or direct owners.
Cornerstone Enterprises, LLC is an Appleton, WI firm with $220M under management, 579 clients and 5 advisers across 3 offices, as of its February 2026 filing.
Guy McCauley is Executive VP of Cornerstone Financial Group. He has been in the financial industry since 2013 and has 25 years of experience in business management. He joined the Cornerstone team at the end of 2019 and offers a focus on financial planning, business planning, income distribution, long-term care, disability income insurance, life insurance and legacy planning.
Guy McCauley’s longest registration is the current one, 3 years at Cornerstone Enterprises since 2023. Before joining Cornerstone Enterprises in 2023, Guy McCauley was registered through Principal Securities, Inc. and MML Investors Services, LLC.
- Principal Securities, Inc.– · 3 yearsAppleton, WI · Adviser representative · Firm CRD 1137
- MML Investors Services, LLC– · 1 yearDe Pere, WI · Adviser representative · Firm CRD 10409
- Prudential Financial Planning Services– · under a yearAppleton, WI · Adviser representative · Firm CRD 5685
- Thrivent Investment Management Inc.– · 3 yearsGreen Bay, WI · Adviser representative · Firm CRD 18387
Professional designations
Listed by Cornerstone Enterprises
- CLTC®
- RICP®
- AIF®
Investment adviser representative registrations
Guy McCauley is registered as an investment adviser representative in 2 states. The first approvals date from January 2023; the most recent is Florida, in June 2023.
- FloridaSince 12 June 2023
- WisconsinSince 3 January 2023
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 6TO | Investment Company Products/Variable Contracts Representative Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 31 March 2014 |
| Series 7 | General Securities Representative Examination | 13 March 2014 |
| Series 63 | Uniform Securities Agent State Law Examination | 7 March 2014 |
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- CRD
- 6267964
- Firm
- Cornerstone Enterprises · CRD 324255
- Registration
- Investment adviser registration
- In the industry since
- March 2014
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- cfgwi.com
Where does Guy McCauley work?
Guy McCauley is an investment adviser representative registered through Cornerstone Enterprises, LLC since January 2023, and is not listed among the firm’s executive officers or direct owners.
Is Guy McCauley a financial advisor?
Yes. Guy McCauley has a current investment-adviser registration in Florida and Wisconsin, through Cornerstone Enterprises since January 2023.
How many years of experience does Guy McCauley have?
Guy McCauley has 12 years in the financial industry, since March 2014, across 5 adviser firms.
What exams has Guy McCauley passed?
Guy McCauley has passed 4 licensing exams: the Series 63, Series 7, Series 66 and Series 6TO. The earliest, the Series 63, was passed in March 2014. FINRA credited Guy McCauley with the SIE, which began in October 2018.
Where did Guy McCauley work before Cornerstone Enterprises?
Before Cornerstone Enterprises, Guy McCauley was registered through MML Investors Services, LLC, February 2018 to December 2019; Prudential Financial Planning Services, June 2017 to February 2018; Thrivent Investment Management Inc., April 2014 to May 2017.
Is Guy McCauley registered with FINRA?
No. Guy McCauley has no current broker registration.
How can I verify Guy McCauley’s record?
Search CRD 6267964 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Guy McCauley’s full registration record.
