Lamarde A. Monroe
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.
Lamarde Andra Monroe, who also goes by Lamarde Monroe, Marty A Monroe, was a registered financial professional .
Lamarde is a previously registered financial professional and started their career in finance in 1993. Lamarde had worked at 8 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
February 21, 2006 - October 24, 2008
AURA FINANCIAL SERVICES, INC.
August 3, 2004 - February 23, 2006
WINDSOR STREET CAPITAL, LP
September 6, 2000 - August 21, 2002
JANNEY MONTGOMERY SCOTT LLC
August 1, 1995 - September 12, 2000
GRUNTAL & CO., L.L.C.
April 25, 1995 - July 20, 1995
GKN SECURITIES CORP.
August 3, 1994 - May 2, 1995
FINANCIAL SQUARE PARTNERS
April 26, 1994 - August 9, 1994
UBS FINANCIAL SERVICES INC.
October 7, 1993 - January 26, 1994
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.
