Joseph A. Mcauliffe

RUBINBROWN ADVISORS

Leawood, KS 66211

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CRD#: 5282938

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.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joe Mcauliffe | Joe 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph A 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

April 2, 2025 - Present

RUBINBROWN ADVISORS LLC

Office #1: 4000 West 114th Street Suite 120, Leawood, KS 66211

RIA

CRD#: 116909

Leawood, KS

Past

September 1, 2023 - April 5, 2025

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Omaha, NE

Past

March 21, 2018 - December 31, 2020

TD AMERITRADE CLEARING, INC.

CRD#: 5633

OMAHA, NE

Past

April 9, 2009 - May 3, 2017

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

OMAHA, NE

Past

April 9, 2009 - March 23, 2018

TD AMERITRADE, INC.

RIA

CRD#: 7870

Kansas City, MO

Past

July 17, 2008 - September 1, 2023

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

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".

RUBINBROWN ADVISORS LLC

CRD#: 116909 / SEC#: 801-62021

RIA

Registered Investment Advisory firm - (5/2/2003 Approved)

Arizona

Registered Investment Advisory firm - (5/7/2003 Terminated)

Florida

Registered Investment Advisory firm - (5/7/2003 Terminated)

Illinois

Registered Investment Advisory firm - (5/5/2003 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Kansas
(4/2/2025)

IAR

Missouri
(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

State Security Law Exam

IAR

Series 66

Date: 4/2/2009

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/29/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/16/2008

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/21/2020

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 3/12/2018

Registered Options Principal Examination

Current Firm

RUBINBROWN ADVISORS LLC

CRD#: 116909 / SEC#: 801-62021

RIA

Registered Investment Advisory firm - (5/2/2003 Approved)

Arizona

Registered Investment Advisory firm - (5/7/2003 Terminated)

Florida

Registered Investment Advisory firm - (5/7/2003 Terminated)

Illinois

Registered Investment Advisory firm - (5/5/2003 Terminated)

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Contact information

Main Address

7676 Forsyth Blvd. Suite 2100, St. Louis, MO 63105

Mailing Address

Phone number

(314) 290-3300

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (24 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (11/3/2025)

Regulatory assets under management

Total Number of Accounts	3,918
AUM (Assets Under Management)	$ 3,268,176,113

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.

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Advisor Monitoring

Firm Stability Insights

Joseph A. Mcauliffe

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

RUBINBROWN ADVISORS LLC

CHARLES SCHWAB & CO., INC.

TD AMERITRADE CLEARING, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

TD AMERITRADE, INC.

Primary Firm SEC Registration

RUBINBROWN ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/2/2009

Series 63

Date: 7/29/2008

SIE

Date: 10/1/2018

Series 7

Date: 7/16/2008

Series 24

Date: 7/21/2020

Series 4

Date: 3/12/2018

Current Firm

RUBINBROWN ADVISORS LLC

Contact information

SEC notice filing (24 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RUBINBROWN ADVISORS LLC

TRUST BUT VERIFY

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