Richard J. Augustus
Professional summary
Richard John Augustus is a registered financial professional currently at AURUS ADVISORS, INC. located in Palo Alto, California.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1984. Richard has worked at 3 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 3, Series 14 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Richard John Augustus's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 9, 2004 - Present
AURUS ADVISORS, INC.
Office #1: 228 Hamilton Avenue 3rd Floor, Palo Alto, CA 94301Office #2: N. 822 Florida A1a Suite 310, Ponte Vedra Beach, FL 32082Office #3: N. 822 Florida A1a Suite 310, Ponte Vedra Beach, FL 32082Office #4: 20 West 64th Street, New York, NY 10023June 14, 1994 - May 17, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 3, 1992 - June 13, 1992
M. J. WHITMAN, INC.
April 18, 1984 - March 3, 1990
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
(2/9/2004)
(1/4/2016)
(2/7/2006)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
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
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Company Information
AURUS ADVISORS, INC.
CRD#: 128096Palo Alto, CA 94301TRUST BUT VERIFY
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