BM
Brian W. Mcauliffe
LOTUSGROUP ADVISORS
Denver, CO 80209
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CRD#: 7767264
BM
Professional summary
Brian William Mcauliffe is a registered financial advisor currently at LOTUSGROUP ADVISORS located in Denver, Colorado.
Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2023. Brian has worked at 1 firm and has passed the Series 65 exam.
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Brian William 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®
NoneExperience
Current
June 14, 2023 - Present
LOTUSGROUP ADVISORS
Office #1: 1005 S. Gaylord Street, Denver, CO 80209RIA
CRD#: 143379
Denver, CO
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".
LA
LOTUSGROUP ADVISORS
LOTUSGROUP ADVISORS | LOTUSGROUP ADVISORS, LLC
CRD#: 143379 / SEC#: 801-111051
RIA
Registered Investment Advisory firm - (8/28/2017 Approved)California
Registered Investment Advisory firm - (9/28/2017 Terminated)Colorado
Registered Investment Advisory firm - (8/30/2017 Terminated)New York
Registered Investment Advisory firm - (8/29/2017 Terminated)Texas
Registered Investment Advisory firm - (8/29/2017 Terminated)Washington
Registered Investment Advisory firm - (11/16/2015 Terminated)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
California(6/14/2023)
IAR
Colorado(6/14/2023)
IAR
New Hampshire(6/14/2023)
IAR
New York(6/14/2023)
IAR
Texas(6/14/2023)
Current Firm
LA
LOTUSGROUP ADVISORS
LOTUSGROUP ADVISORS | LOTUSGROUP ADVISORS, LLC
CRD#: 143379 / SEC#: 801-111051
RIA
Registered Investment Advisory firm - (8/28/2017 Approved)California
Registered Investment Advisory firm - (9/28/2017 Terminated)Colorado
Registered Investment Advisory firm - (8/30/2017 Terminated)New York
Registered Investment Advisory firm - (8/29/2017 Terminated)Texas
Registered Investment Advisory firm - (8/29/2017 Terminated)Washington
Registered Investment Advisory firm - (11/16/2015 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1005 S. Gaylord Street, Denver, CO 80209
Mailing Address
Phone number
(720) 593-9861
Established
Firm type
Fiscal year end
# of Employees
10
SEC notice filing (7 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 622 |
| AUM (Assets Under Management) | $ 233,912,867 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/16/2024 | ||
| 01/18/2023 |
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.
