John W. Woodruff
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.
John Wesley Woodruff JR was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1995. John had worked at 6 firms and has passed the Series 63, Series 7, Series 53, Series 4, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 26, 2007 - February 16, 2010
AURA FINANCIAL SERVICES, INC.
August 1, 2006 - June 22, 2007
COLONIAL BROKERAGE, INC.
August 2, 2004 - August 2, 2006
AMSOUTH INVESTMENT SERVICES, INC.
May 13, 2003 - August 3, 2004
J.P. TURNER & COMPANY, L.L.C.
March 12, 1999 - June 11, 2001
E*TRADE SECURITIES LLC
June 19, 1996 - February 26, 1999
TD AMERITRADE, INC.
June 23, 1995 - September 14, 1995
AMSOUTH INVESTMENT SERVICES, 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
Series 8
Date: 9/9/1998
General Securities Sales Supervisor Examination (Options Module & General Module)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.
