B R. Auspitz
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.
B Reuben Auspitz was a registered financial professional .
B is a previously registered financial professional and started their career in finance in 1988. B had worked at 3 firms and has passed the Series 63, SIE, Series 62, Series 22, Series 6, Series 24, Series 39 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 9, 1991 - December 31, 2013
MANNING & NAPIER ADVISORY ADVANTAGE COMPANY, LLC
October 26, 1990 - June 16, 2015
MANNING & NAPIER INVESTOR SERVICES, INC.
August 22, 1988 - June 16, 2015
MANNING & NAPIER ADVISORS, 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 62
Date: 7/14/1997
Corporate Securities Limited Representative ExaminationCurrent Firm
MANNING & NAPIER ADVISORY ADVANTAGE COMPANY, LLC
CRD#: 106652 / SEC#: 801-37236
Contact information
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.
