Geri Allison
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.
Geri Allison, who also goes by Geri Waltman, was a registered financial professional .
Geri is a previously registered financial professional and started their career in finance in 1987. Geri had worked at 11 firms and has passed the Series 63, SIE, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 18, 2021 - April 12, 2021
AURUS ADVISORS, INC.
March 16, 2021 - January 10, 2022
MOMENTUM CAPITAL MARKETS, LLC
July 12, 2020 - January 10, 2022
VISTA POINT ADVISORS, LLC
July 2, 2020 - January 6, 2022
FINANCIAL TELESIS INC
July 5, 2018 - September 2, 2020
MVP CAPITAL ADVISORS, LLC
December 13, 2012 - December 12, 2018
HOULIHAN LOKEY ADVISORS, LLC
August 18, 2003 - February 3, 2005
RBC CAPITAL MARKETS, LLC
August 19, 2002 - September 9, 2003
WELLS FARGO INVESTMENTS, LLC
August 25, 1995 - August 1, 2001
CHARLES SCHWAB & CO., INC.
June 24, 1994 - June 28, 1995
INTERFIRST CAPITAL CORPORATION
August 18, 1987 - February 18, 1988
AMERIPRISE FINANCIAL SERVICES, 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
Series 8
Date: 5/8/1998
General Securities Sales Supervisor Examination (Options Module & General Module)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
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.
