AdFi
JA

Joseph A McAuliffe

Investment Adviser Representative at RUBINBROWN ADVISORS LLC

Leawood, KSCRD #5282938Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
18 yrs
States Registered
2 states
Exams Passed
6

Professional summary

Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.

Joseph A. Mcauliffe has worked in the securities industry since 2008. They are registered to provide investment advisory services in Kansas and Missouri.

Registrations & licenses

Registration type
Dual-registered
Registered in 2 states
KansasMissouri
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 4/2/2009
Series 63
Uniform Securities Agent State Law Examination
Passed 7/29/2008
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 7/16/2008
Series 24
General Securities Principal Examination
Passed 7/21/2020
Series 4
Registered Options Principal Examination
Passed 3/12/2018

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Asset tierAnnual rate
First $2,000,0000.95%
Next $3,000,0000.50%
Next $5,000,0000.40%
Above $10,000,0000.30%
Account minimum: $150,000

Firm-stated minimum; may be waived at the firm's discretion.

Source

Rubinbrown Advisors LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

RUBINBROWN ADVISORS LLCCurrent
4/2/2025Leawood, KS
TD AMERITRADE, INC.
4/9/20093/23/2018Kansas City, MO
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
4/9/20095/3/2017Omaha, NE

Official records & sources

Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Joseph A McAuliffe has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

Joseph A McAuliffe - Financial Advisor in Leawood, KS | AdvisorFinder