John P. Roe
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.
John Parker Roe was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1983. John had worked at 11 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 30, 2012 - July 12, 2013
AURUS ADVISORS, INC.
September 30, 2011 - February 29, 2012
CREDIT SUISSE SECURITIES (USA) LLC
February 9, 2011 - October 14, 2011
BARCLAYS CAPITAL INC.
October 10, 2006 - February 4, 2008
GOLDMAN SACHS & CO. LLC
February 9, 2004 - October 12, 2006
CITIGROUP GLOBAL MARKETS INC.
December 15, 2000 - October 12, 2006
CITIGROUP GLOBAL MARKETS INC.
October 22, 1998 - December 22, 2000
UBS SECURITIES LLC
January 21, 1998 - September 15, 1998
BANC OF AMERICA SECURITIES LLC
March 14, 1996 - January 30, 1998
JPMSI
August 11, 1987 - March 1, 1996
CREDIT SUISSE SECURITIES (USA) LLC
September 5, 1986 - August 12, 1987
MORGAN STANLEY & CO. LLC
February 14, 1984 - September 9, 1986
HAMBRECHT & QUIST LLC
April 20, 1983 - March 14, 1984
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
AURUS ADVISORS, INC.
CRD#: 128096 / SEC#: , 8-66089
Contact information
FINRA licenses (3 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AUGUSTUS, RICHARD JOHN | PRESIDENT, DIRECTOR, CHIEF COMPLIANCE OFFICER, CFO | |
| RUSSO, JOSEPH DANIEL | VICE PRESIDENT | |
| COLLINS, ELIZABETH SARAH | FINOP | 4714831 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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