Earnest Flowers
Professional summary
Earnest Flowers III was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Earnest is a previously registered financial professional and started their career in finance in 1996. Prior to being barred, Earnest had worked at 7 firms, which includes AURA FINANCIAL SERVICES INC., INVESTORS CAPITAL CORP., THE CONCORD EQUITY GROUP LLC, LADENBURG CAPITAL MANAGEMENT INC., LADENBURG THALMANN & CO. INC., BLUESTONE CAPITAL CORP., BILTMORE 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 20, 2006 - February 11, 2009
AURA FINANCIAL SERVICES, INC.
March 9, 2004 - December 31, 2005
INVESTORS CAPITAL CORP.
November 19, 2002 - November 5, 2003
THE CONCORD EQUITY GROUP, LLC
January 2, 2002 - July 25, 2002
LADENBURG CAPITAL MANAGEMENT INC.
January 31, 2000 - January 2, 2002
LADENBURG THALMANN & CO. INC.
May 21, 1996 - February 1, 2000
BLUESTONE CAPITAL CORP.
April 16, 1996 - May 8, 1996
BILTMORE SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Series 62
Date: 4/15/1996
Corporate Securities Limited Representative ExaminationCurrent 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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