Paul C. Davy
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.
Paul Chene Davy was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1985. Paul had worked at 8 firms and has passed the Series 63, Series 3 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
April 12, 2001 - July 19, 2005
AURA FINANCIAL SERVICES, INC.
October 16, 1997 - April 10, 2001
LASALLE ST SECURITIES, L.L.C.
December 8, 1994 - October 16, 1997
SAPERSTON FINANCIAL INC.
March 16, 1993 - December 6, 1994
G.R. STUART & COMPANY, INC.
August 26, 1992 - March 16, 1993
FINANCIAL SECURITIES NETWORK,INC.
December 9, 1991 - August 20, 1992
AIMCO SECURITIES COMPANY, INC.
February 24, 1989 - December 6, 1991
LEGG MASON WOOD WALKER, INCORPORATED
September 24, 1985 - March 11, 1989
LEHMAN BROTHERS 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
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.
