Raymond R. Rapaglia
Professional summary
Raymond Roy Rapaglia was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Raymond is a previously registered financial professional and started their career in finance in 1986. Prior to being barred, Raymond had worked at 19 firms, which includes AURA FINANCIAL SERVICES INC., CANTONE RESEARCH INC., VALLEY FORGE SECURITIES INC ., MASON HILL & CO. INC., COLEMAN & COMPANY SECURITIES INC., HD BROUS & CO. INC., PARAGON CAPITAL MARKETS INC., GLOBAL EQUITIES GROUP INC, MEYERS POLLOCK ROBBINS INC., TUSCANY EQUITY MANAGEMENT CORPORATI0N, CORTLANDT CAPITAL CORPORATION, M.S. FARRELL & COMPANY INC., BLUESTONE CAPITAL CORP., LEHMAN BROTHERS INC., UBS FINANCIAL SERVICES INC., CITIGROUP GLOBAL MARKETS INC., CIBC WORLD MARKETS CORP., MORGAN STANLEY DW INC., EMPIRE NATIONAL SECURITIES INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 10, 2003 - August 12, 2008
AURA FINANCIAL SERVICES, INC.
May 30, 2001 - January 6, 2003
CANTONE RESEARCH INC.
October 27, 2000 - May 17, 2001
VALLEY FORGE SECURITIES, INC .
November 4, 1999 - November 9, 2000
MASON HILL & CO., INC.
June 7, 1999 - December 13, 1999
COLEMAN & COMPANY SECURITIES, INC.
March 21, 1998 - March 15, 1999
HD BROUS & CO., INC.
May 8, 1997 - March 9, 1998
PARAGON CAPITAL MARKETS, INC.
February 5, 1997 - May 13, 1997
GLOBAL EQUITIES GROUP INC
April 16, 1996 - October 9, 1996
MEYERS POLLOCK ROBBINS, INC.
November 7, 1995 - November 28, 1995
TUSCANY EQUITY MANAGEMENT CORPORATI0N
July 24, 1995 - September 12, 1995
CORTLANDT CAPITAL CORPORATION
September 13, 1994 - February 14, 1995
M.S. FARRELL & COMPANY, INC.
May 15, 1992 - September 23, 1992
BLUESTONE CAPITAL CORP.
July 23, 1991 - March 10, 1992
LEHMAN BROTHERS INC.
June 30, 1989 - July 24, 1991
UBS FINANCIAL SERVICES INC.
May 9, 1988 - July 20, 1989
CITIGROUP GLOBAL MARKETS INC.
April 13, 1987 - May 17, 1988
CIBC WORLD MARKETS CORP.
April 3, 1986 - April 21, 1987
MORGAN STANLEY DW INC.
February 19, 1986 - April 11, 1986
EMPIRE NATIONAL SECURITIES, 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 |
Red Flags
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