Scott H. Albertson
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.
Scott Harold Albertson SR, who also goes by Scott Harold Albertson, was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1984. Scott had worked at 8 firms and has passed the Series 63, Series 15, Series 3, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 9, 2004 - May 11, 2005
AURA FINANCIAL SERVICES, INC.
September 22, 2003 - December 31, 2003
SAXONY SECURITIES, INC.
January 30, 1998 - September 8, 2003
CLEARING SERVICES OF AMERICA, INC.
June 25, 1990 - January 28, 1998
SECURITIES AMERICA, INC.
November 19, 1989 - May 25, 1990
OSAIC WEALTH, INC.
December 21, 1987 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
May 7, 1984 - January 19, 1988
PRUDENTIAL EQUITY GROUP, LLC
January 25, 1984 - May 1, 1984
BLINDER, ROBINSON & CO., 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 15
Date: 9/12/1984
Foreign Currency Options ExaminationCurrent 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.
