William F. Hague
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.
William Franklin Hague, who also goes by Bill Hague, was a registered financial advisor .
William is a previously registered financial advisor and started their career in finance in 1993. William had worked at 12 firms and has passed the Series 63 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
March 25, 2005 - December 6, 2005
AURA FINANCIAL SERVICES, INC.
January 13, 2004 - February 27, 2004
SAXONY SECURITIES, INC.
June 23, 1999 - January 7, 2003
LPL FINANCIAL LLC
June 17, 1999 - January 7, 2003
LPL FINANCIAL LLC
July 1, 1998 - June 15, 1999
RAYMOND JAMES & ASSOCIATES, INC.
March 6, 1997 - July 1, 1998
AMSOUTH INVESTMENT SERVICES, INC.
November 6, 1996 - January 14, 1997
UBS FINANCIAL SERVICES INC.
August 16, 1996 - November 7, 1996
J.P. MORGAN SECURITIES LLC
June 7, 1995 - June 24, 1996
SOUTHTRUST SECURITIES, LLC
January 19, 1995 - June 8, 1995
SOUTHTRUST INVESTMENT SERVICES, INC.
October 14, 1994 - January 23, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 31, 1993 - October 28, 1994
CITIGROUP GLOBAL MARKETS INC.
June 8, 1993 - July 31, 1993
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.
