Gregory M. Burton
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.
Gregory Mark Burton was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 1982. Gregory had worked at 11 firms and has passed the Series 65, Series 63, Series 7, Series 6, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 7, 2001 - February 5, 2002
AURA FINANCIAL SERVICES, INC.
March 26, 2001 - April 16, 2001
TRIAD ADVISORS LLC
March 1, 1999 - September 8, 2000
AMERICAN INVESTMENT SERVICES, INC.
January 4, 1999 - January 12, 1999
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 14, 1998 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
June 14, 1997 - January 7, 1998
KIRLIN SECURITIES INC.
May 18, 1994 - July 3, 1997
SHIELDS & COMPANY
May 7, 1990 - May 25, 1994
ADVEST, INC.
May 2, 1983 - May 17, 1990
UBS FINANCIAL SERVICES INC.
November 24, 1982 - April 29, 1983
KUHNS BROTHERS & LAIDLAW, INC.
January 27, 1982 - August 30, 1982
FORESTERS FINANCIAL SERVICES, INC.
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
Series 8
Date: 1/29/1991
General Securities Sales Supervisor Examination (Options Module & General Module)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.
