Robert R. Lucci
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.
Robert Richard Lucci, who also goes by Chip Lucci, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1986. Robert had worked at 11 firms and has passed the Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 8, 2005 - November 4, 2009
AURA FINANCIAL SERVICES, INC.
October 10, 2003 - February 1, 2005
US TAX ADVISORY GROUP, INC.
August 2, 2002 - October 25, 2002
INVEST FINANCIAL CORPORATION
January 12, 2001 - August 7, 2002
SIGMA FINANCIAL CORPORATION
September 14, 1999 - December 13, 2000
SICOR SECURITIES INC
March 28, 1996 - November 7, 1997
SICOR SECURITIES INC
June 30, 1994 - April 5, 1995
FAS WEALTH MANAGEMENT SERVICES, INC.
November 12, 1991 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
November 12, 1991 - July 14, 1994
PRUCO SECURITIES, LLC.
April 6, 1989 - August 14, 1991
SHEEN FINANCIAL RESOURCES, INC.
November 13, 1987 - April 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
July 6, 1987 - November 24, 1987
SOURCE SECURITIES, INC.
May 9, 1986 - July 29, 1987
PRUCO SECURITIES, LLC.
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
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.
