Joseph A Mcauliffe
Professional Summary
Joseph A Mcauliffe, who also goes by Joe Mcauliffe, Joe Mcauliffe, is a registered financial advisor currently at RUBINBROWN ADVISORS LLC located in Leawood, Kansas. Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Joseph has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 24 and Series 4 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Joe Mcauliffe, Joe Mcauliffe
Similar Advisors
FARTHER
LPL FINANCIAL LLC
PRIME CAPITAL FINANCIAL
PFS INVESTMENTS INC.
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
FARTHER
LPL FINANCIAL LLC
PRIME CAPITAL FINANCIAL
PFS INVESTMENTS INC.
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
FARTHER
LPL FINANCIAL LLC
PRIME CAPITAL FINANCIAL
PFS INVESTMENTS INC.
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
FARTHER
LPL FINANCIAL LLC
PRIME CAPITAL FINANCIAL
PFS INVESTMENTS INC.
Years of Experience
18 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
FARTHER
LPL FINANCIAL LLC
PRIME CAPITAL FINANCIAL
PFS INVESTMENTS INC.
Current Firm
RBG ADVISORS, LLC | THE BENEFITS GROUP | RUBINBROWN BENEFITS GROUP LLC | RUBINBROWN ADVISORS LLC | RUBINBROWN ADVISORS | RBG/THE BENEFITS GROUP, LLC
Contact Information
Main Address
7676 Forsyth Blvd. Suite 2100, St. Louis, MO 63105Phone Number
(314) 290-3300# of Employees
30SEC notice filing (26 States and Territories)
Registered to provide investment advisory services in 26 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
4,158AUM (Assets Under Management)
$3,860,989,071Similar Advisors
FARTHER
LPL FINANCIAL LLC
PRIME CAPITAL FINANCIAL
PFS INVESTMENTS INC.
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
The advisor shows no other business activity.
Similar Advisors
FARTHER
LPL FINANCIAL LLC
PRIME CAPITAL FINANCIAL
PFS INVESTMENTS INC.
Primary Firm SEC Registration
RBG ADVISORS, LLC | THE BENEFITS GROUP | RUBINBROWN BENEFITS GROUP LLC | RUBINBROWN ADVISORS LLC | RUBINBROWN ADVISORS | RBG/THE BENEFITS GROUP, LLC
State Registrations and Notice Filings
(4/2/2025)
(4/2/2025)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Similar Advisors
FARTHER
LPL FINANCIAL LLC
PRIME CAPITAL FINANCIAL
PFS INVESTMENTS INC.
CRS (Client Relationship Summary) - RIA
Click below to view Joseph A Mcauliffe's CRS (Customer Relationship Summary).
Similar Advisors
FARTHER
LPL FINANCIAL LLC
PRIME CAPITAL FINANCIAL
PFS INVESTMENTS INC.