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KM

Kevin Mcauliffe

RUSSELL INVESTMENTS
Milwaukee, WI 53202
Some features on this profile are disabled
CRD#: 4570171
KM

Professional summary

Kevin Mcauliffe, who also goes by Kevin James Mcauliffe, is a registered financial advisor currently at RUSSELL INVESTMENTS located in Milwaukee, Wisconsin and RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC located in Milwaukee, Wisconsin.

Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Kevin has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Kevin James Mcauliffe

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
I CURRENTLY OWN A RENTAL PROPERTY IN CT. THE ADDRESS IS 55 SHARON AVE, WEST HAVEN, CT 06516. I DEVOTE ABOUT 1 HOUR PER MONTH TO THE MANAGEMENT OF THE PROPERTY AND IT IS NOT DURING SECURITIES TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Mcauliffe's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

August 12, 2019 - Present

RUSSELL INVESTMENTS

Office #1: 833 E. Michigan Street Suite 850 Milwaukee, Wi 532, Milwaukee, WI 53202
RIA
CRD#: 105734
Milwaukee, WI
Current

August 8, 2019 - Present

RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC

Office #1: 833 E. Michigan Street Suite 850, Milwaukee, WI 53202
BD
CRD#: 21771
Milwaukee, WI
Past

March 20, 2019 - July 8, 2019

EHLERT FINANCIAL GROUP, INC.

RIA
CRD#: 112150
LINCOLNSHIRE, IL
Past

February 21, 2019 - June 24, 2019

FORUM FINANCIAL MANAGEMENT, LP

RIA
CRD#: 145706
LINCOLNSHIRE, IL
Past

April 24, 2015 - January 25, 2016

LEGEND EQUITIES CORPORATION

BD
CRD#: 30999
Schaumburg, IL
Past

April 29, 2014 - January 16, 2019

CETERA INVESTMENT ADVISERS LLC

RIA
CRD#: 105644
SCHAUMBURG, IL
Past

April 29, 2014 - January 16, 2019

CETERA FINANCIAL SPECIALISTS LLC

BD
CRD#: 10358
SCHAUMBURG, IL
Past

March 30, 2011 - August 14, 2014

RUSSELL INVESTMENTS

RIA
CRD#: 105734
MILWAUKEE, WI
Past

February 3, 2011 - April 11, 2014

RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC

BD
CRD#: 21771
MILWAUKEE, WI
Past

April 4, 2005 - February 4, 2011

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

BD
CRD#: 21570
SHELTON, CT
Past

December 9, 2002 - September 15, 2004

BOFA DISTRIBUTORS, INC.

BD
CRD#: 30683
BOSTON, MA
Past

August 9, 2002 - December 6, 2002

EATON VANCE DISTRIBUTORS, INC.

BD
CRD#: 37731
BOSTON, MA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
RI
RUSSELL INVESTMENTS
FRANK RUSSELL INVESTMENT MANAGEMENT COMPANY | RUSSELL INVESTMENTS | RUSSELL INVESTMENT MANAGEMENT, LLC | RUSSELL INVESTMENT MANAGEMENT COMPANY | RUSSELL INVESTMENT GROUP

CRD#: 105734 / SEC#: 801-17141

RIA
Registered Investment Advisory firm - (5/21/1982 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(8/8/2019)
RR
Alaska
(8/8/2019)
RR
Arizona
(8/8/2019)
RR
Arkansas
(8/8/2019)
RR
California
(8/8/2019)
RR
Colorado
(8/8/2019)
RR
Connecticut
(8/8/2019)
RR
Delaware
(8/8/2019)
RR
District of Columbia
(8/8/2019)
RR
Florida
(8/8/2019)
RR
Georgia
(8/8/2019)
RR
Hawaii
(8/8/2019)
RR
Idaho
(8/8/2019)
RR
Illinois
(8/8/2019)
RR
Indiana
(8/8/2019)
RR
Iowa
(8/8/2019)
RR
Kansas
(8/8/2019)
RR
Kentucky
(8/8/2019)
RR
Louisiana
(8/8/2019)
RR
Maine
(8/8/2019)
RR
Maryland
(8/8/2019)
RR
Massachusetts
(8/8/2019)
RR
Michigan
(8/8/2019)
RR
Minnesota
(8/8/2019)
RR
Mississippi
(8/8/2019)
RR
Missouri
(8/8/2019)
RR
Montana
(8/8/2019)
RR
Nebraska
(8/8/2019)
RR
Nevada
(8/8/2019)
RR
New Hampshire
(8/8/2019)
RR
New Jersey
(8/8/2019)
RR
New Mexico
(8/8/2019)
RR
New York
(8/8/2019)
RR
North Carolina
(8/8/2019)
RR
North Dakota
(8/8/2019)
RR
Ohio
(8/8/2019)
RR
Oklahoma
(8/8/2019)
RR
Oregon
(8/8/2019)
RR
Pennsylvania
(8/8/2019)
RR
Puerto Rico
(8/8/2019)
RR
Rhode Island
(8/8/2019)
RR
South Carolina
(8/8/2019)
RR
South Dakota
(8/8/2019)
RR
Tennessee
(8/8/2019)
RR
Texas
(8/8/2019)
RR
Utah
(8/8/2019)
RR
Vermont
(8/8/2019)
RR
Virgin Islands
(8/8/2019)
RR
Virginia
(8/8/2019)
RR
Washington
(8/8/2019)
IAR
Washington
(8/13/2019)
RR
West Virginia
(8/8/2019)
RR
Wisconsin
(8/8/2019)
IAR
Wisconsin
(8/12/2019)
RR
Wyoming
(8/8/2019)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/29/2011
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 8/15/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/3/2011
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 8/8/2002
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/25/2014
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 26
Date: 2/12/2007
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

RI
RUSSELL INVESTMENTS
FRANK RUSSELL INVESTMENT MANAGEMENT COMPANY | RUSSELL INVESTMENTS | RUSSELL INVESTMENT MANAGEMENT, LLC | RUSSELL INVESTMENT MANAGEMENT COMPANY | RUSSELL INVESTMENT GROUP

CRD#: 105734 / SEC#: 801-17141

RIA
Registered Investment Advisory firm - (5/21/1982 Approved)
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Contact information

Main Address
1301 Second Avenue 18th Floor, Seattle, WA 98101
Mailing Address
Phone number
(206) 505-7877
Established
Firm type
Fiscal year end
# of Employees
589

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

RUSSELL INVESTMENT MANAGEMENT, LLC (3/28/2025)

Regulatory assets under management

Total Number of Accounts69,312
AUM (Assets Under Management)$ 62,376,876,918

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

RUSSELL INVESTMENTS

CRD#: 105734Milwaukee, WI 53202

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