Robert W. Stallworth
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Robert William Stallworth JR, who also goes by Bob Stallworth, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1981. Robert had worked at 9 firms and has passed the Series 63, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 21, 2007 - November 4, 2009
AURA FINANCIAL SERVICES, INC.
June 17, 2004 - February 26, 2007
LEVEL FOUR FINANCIAL, LLC
November 21, 2001 - June 17, 2004
PAN-AMERICAN FINANCIAL ADVISERS
January 4, 1999 - August 27, 2001
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 23, 1998 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
August 28, 1995 - October 12, 1998
AMERICAN INVESTMENT SERVICES, INC.
August 18, 1989 - June 8, 1995
THE ROBINSON-HUMPHREY COMPANY, LLC
July 23, 1982 - August 1, 1989
A. G. EDWARDS & SONS, INC.
November 15, 1981 - June 23, 1982
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
AURA FINANCIAL SERVICES, INC.
CRD#: 42822 / SEC#: , 8-50020
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GAUTNEY, TIMOTHY MICHAEL | PRESIDENT | 2552149 |
| GAUTNEY, TIMOTHY MICHAEL | SECRETARY | 2552149 |
| COOPER, SHAUN MICHAEL | DIRECTOR OF OPERATIONS | 4254365 |
| COOPER, SHAUN MICHAEL | SROP | 4254365 |
| KING, LOYD GILFORD | TREASURER | 2892687 |
| WOODRUFF, JOHN WESLEY JR | CROP | 2625285 |
| WOODRUFF, JOHN WESLEY JR | CHIEF COMPLIANCE OFFICER | 2625285 |
Disclosures
| Regulatory Event | 8 |
| Civil Event | 1 |
| Arbitration | 5 |
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.
