Kirk G. Eddy
Professional summary
Kirk Glenn Eddy was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Kirk is a previously registered financial professional and started their career in finance in 1990. Prior to being barred, Kirk had worked at 5 firms, which includes AURA FINANCIAL SERVICES INC., AMERITAS INVESTMENT COMPANY LLC, THE O.N. EQUITY SALES COMPANY, AMERICAN UNITED LIFE INSURANCE COMPANY, ONEAMERICA SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 6, 2003 - September 6, 2005
AURA FINANCIAL SERVICES, INC.
July 22, 1996 - May 31, 2002
AMERITAS INVESTMENT COMPANY, LLC
February 10, 1994 - October 9, 1995
THE O.N. EQUITY SALES COMPANY
August 17, 1990 - December 31, 1991
AMERICAN UNITED LIFE INSURANCE COMPANY
August 17, 1990 - February 16, 1994
ONEAMERICA SECURITIES, INC.
State Registrations and Notice Filings
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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
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