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Kyle Patrick Harrington

CRD# 2282328·Registered 1993 - 2018
Barred: Kyle Patrick Harrington was barred by the FINRA and is not permitted to conduct business in the covered capacity.

Professional Summary

Kyle Patrick Harrington, who also goes by Kyle Harrington, Kyle Harrington, was a registered financial advisor. Kyle was a previously registered financial professional and started their career in finance 1993 - 2018. Kyle had worked at 19 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Kyle Harrington, Kyle Harrington

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

33 years in the financial services industry

Current & Past Employments

AURORA CAPITAL LLC·CRD# 37924
BD
Bridgehampton,, NY
December 7, 2016 - July 18, 2018
B. RILEY WEALTH ADVISORS, INC.·CRD# 115927
RIA
San Diego, CA
August 17, 2012 - November 18, 2016
NATIONAL SECURITIES CORPORATION·CRD# 7569
BD
San Diego, CA
July 5, 2012 - November 18, 2016
COVA CAPITAL PARTNERS LLC·CRD# 109761
BD
Syosset, NY
March 12, 2012 - July 18, 2012
MATRIX CAPITAL GROUP, INC.·CRD# 33364
BD
New York, NY
December 15, 2009 - November 18, 2011
HCM CONSULTING·CRD# 150808
RIA
San Diego, CA
July 10, 2009 - December 31, 2014
FIRST ALLIED SECURITIES, INC.·CRD# 32444
RIA
La Jolla, CA
February 19, 2008 - December 21, 2009
FIRST ALLIED SECURITIES, INC.·CRD# 32444
BD
La Jolla, CA
February 7, 2008 - December 21, 2009
PROBABILITIES FUND MANAGEMENT, LLC·CRD# 144313
RIA
La Jolla, CA
October 19, 2007 - November 19, 2007
AUSDAL FINANCIAL PARTNERS, INC.·CRD# 7995
RIA
La Jolla, CA
July 6, 2007 - February 11, 2008
AUSDAL FINANCIAL PARTNERS, INC.·CRD# 7995
BD
La Jolla, CA
July 6, 2007 - February 11, 2008
DEUTSCHE BANK SECURITIES INC.·CRD# 2525
RIA
San Francisco, CA
June 13, 2005 - June 29, 2007
DEUTSCHE BANK SECURITIES INC.·CRD# 2525
BD
San Francisco, CA
June 13, 2005 - June 29, 2007
WELLS FARGO CLEARING SERVICES, LLC·CRD# 19616
RIA
San Francisco, CA
July 1, 2003 - June 13, 2005
WELLS FARGO CLEARING SERVICES, LLC·CRD# 19616
BD
St. Louis, MO
July 1, 2003 - June 13, 2005
PRUDENTIAL EQUITY GROUP, LLC·CRD# 7471
RIA
San Francisco, CA
November 7, 2002 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC·CRD# 7471
BD
New York, NY
July 18, 2002 - July 1, 2003
CIBC WORLD MARKETS CORP.·CRD# 630
BD
New York, NY
July 9, 1999 - July 19, 2002
ROBERTSON STEPHENS, INC.·CRD# 41271
BD
San Francisco, CA
September 1, 1998 - May 19, 1999
BANCAMERICA SECURITIES, INC.·CRD# 17977
BD
San Francisco, CA
July 17, 1998 - September 1, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
BD
New York, NY
December 17, 1997 - January 21, 1998
MORGAN STANLEY & CO. LLC·CRD# 8209
BD
New York, NY
August 15, 1997 - September 15, 1997
GOLDMAN SACHS & CO. LLC·CRD# 361
BD
New York, NY
August 14, 1996 - September 5, 1996
NATIONAL BANK OF CANADA FINANCIAL INC.·CRD# 22698
BD
New York, NY
May 17, 1994 - January 16, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
BD
New York, NY
August 16, 1993 - February 10, 1994

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Current Firm

AC
AURORA CAPITAL LLC

AURORA CAPITAL CORP. | AURORA CAPITAL LLC

CRD#: 37924 / SEC#: 8-48069
BD
Terminated by SEC on 07/04/2021

Contact Information

Established

New York since 09/15/1998

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
AURORA CAPITAL CORP.MANAGING MEMBER—
JAVITS, ERIC MINDIVIDUAL OWNER6721703
T MORGEN CAPITAL LLCMEMBER—
MARGOLIS, JEFF ELIOTPRES OF AURORA CAPITAL CORP., MANAGING MEMBER, PRESIDENT, FINOP, CHIEF COMPLIANCE OFFICER, CFO, CHIEF ADMIN, EXEC REP TO FINRA1131553

Disclosures

Regulatory Event

6

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Oct 2002About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Sep 1993About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Jul 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Aug 1993About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Jul 2009About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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KH
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