Harold S. Simpson
Professional summary
Harold Stephen Simpson SR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Harold is a previously registered financial professional and started their career in finance in 1982. Prior to being barred, Harold had worked at 9 firms, which includes AURA FINANCIAL SERVICES INC., STONEX SECURITIES INC., WADDELL & REED, WALL STREET FINANCIAL GROUP INC., GUARDIAN INVESTOR SERVICES LLC, AMERICAN INVESTMENT SERVICES INC., FSC SECURITIES CORPORATION, MORGAN STANLEY DW INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 11, 2005 - January 23, 2006
AURA FINANCIAL SERVICES, INC.
October 23, 2002 - November 11, 2003
STONEX SECURITIES INC.
March 13, 2000 - February 21, 2002
WADDELL & REED
May 19, 1999 - February 29, 2000
WALL STREET FINANCIAL GROUP, INC.
November 4, 1998 - April 1, 1999
GUARDIAN INVESTOR SERVICES LLC
December 6, 1996 - July 27, 1998
AMERICAN INVESTMENT SERVICES, INC.
June 28, 1994 - December 4, 1996
AMERICAN INVESTMENT SERVICES, INC.
January 28, 1993 - June 23, 1994
FSC SECURITIES CORPORATION
April 22, 1988 - January 5, 1993
MORGAN STANLEY DW INC.
November 24, 1982 - May 12, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 |
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