Justin H. Mcauliffe

GABELLI FUNDS

Rye, NY 10580-1422

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CRD#: 7492109

Professional summary

Justin Hawley Mcauliffe is a registered financial advisor currently at GABELLI FUNDS, LLC located in Rye, New York and G.DISTRIBUTORS, LLC located in Rye, New York.

Justin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Justin has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

(1) Conrad Hilton Foundation, Not Investment related, I Dole Drive, Westlake Village, CA 91362, Grantmaking foundation, Director, started in 2019, Quarterly and Annual meetings as well as Committee meetings, serve on Program Committee, Nominating Committee and Investments Committee. (2) Vita-Pakt Citrus Products Company, non investment related, 4825 Calloway Drive, suite 102, Bakersfield CA, 93312, processor and supplier of industrial citrus ingredients, Director, November 2019, quarterly board meetings approximately 2 hours long, serve on Board of Directors.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Justin Hawley Mcauliffe's 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

March 17, 2023 - Present

GABELLI FUNDS, LLC

Office #1: One Corporate Center, Rye, NY 10580-1422

RIA

CRD#: 104949

Rye, NY

Current

May 2, 2022 - Present

G.DISTRIBUTORS, LLC

Office #1: One Corporate Center, Rye, NY 10580-1435

CRD#: 155071

Rye, NY

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".

GABELLI FUNDS, LLC

CRD#: 104949 / SEC#: 801-37706

RIA

Registered Investment Advisory firm - (11/16/1990 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.

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

Florida
(3/17/2023)

New York
(3/17/2023)

IAR

New York
(3/17/2023)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/15/2023

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 4/30/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 2/11/2022

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

GABELLI FUNDS, LLC

CRD#: 104949 / SEC#: 801-37706

RIA

Registered Investment Advisory firm - (11/16/1990 Approved)

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Contact information

Main Address

One Corporate Center, Rye, NY 10580-1422

Mailing Address

Phone number

(914) 921-5000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

GABELLI FUNDS, LLC - BROCHURE (6/6/2025)

Regulatory assets under management

Total Number of Accounts	51
AUM (Assets Under Management)	$ 21,954,257,048

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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Justin H. Mcauliffe

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

GABELLI FUNDS, LLC

G.DISTRIBUTORS, LLC

Primary Firm SEC Registration

GABELLI FUNDS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/15/2023

Series 7TO

Date: 4/30/2022

SIE

Date: 2/11/2022

FINRA

Current Firm

GABELLI FUNDS, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GABELLI FUNDS, LLC

TRUST BUT VERIFY

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