Gregory D. Aurand
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 Dale Aurand, who also goes by Greg Aurand, was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 1983. Gregory had worked at 6 firms and has passed the Series 63, Series 86, Series 87, Series 7TO, SIE, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 9, 2021 - February 1, 2024
NOBLE CAPITAL MARKETS, INC.
September 29, 2007 - April 8, 2008
LBMZ SECURITIES, INC.
October 5, 1987 - March 5, 1988
BLUNT ELLIS & LOEWI INCORPORATED
February 4, 1985 - February 23, 1987
BMMG CAPITAL CORP.
May 27, 1983 - July 17, 1984
MANLEY, BENNETT, MCDONALD & CO
March 29, 1983 - January 16, 1985
THOMSON MCKINNON SECURITIES 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 7TO
Date: 6/9/2021
General Securities Representative ExaminationCurrent Firm
NOBLE CAPITAL MARKETS, INC.
CRD#: 15768 / SEC#: , 8-32706
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 9 |
| Arbitration | 11 |
Red Flags
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