Ronald E. Hardy
Professional summary
Ronald Edward Hardy JR was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Ronald is a previously registered financial professional and started their career in finance in 1996. Prior to being barred, Ronald had worked at 6 firms, which includes AURA FINANCIAL SERVICES INC., WESTPARK CAPITAL INC., NATIONAL SECURITIES CORPORATION, SALOMON GREY FINANCIAL CORPORATION, CONTINENTAL BROKER-DEALER CORP., STRATTON OAKMONT INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 20, 2007 - September 2, 2009
AURA FINANCIAL SERVICES, INC.
April 11, 2006 - July 11, 2007
WESTPARK CAPITAL, INC.
September 23, 2005 - May 2, 2006
NATIONAL SECURITIES CORPORATION
February 14, 2005 - October 21, 2005
AURA FINANCIAL SERVICES, INC.
July 18, 2002 - April 29, 2005
SALOMON GREY FINANCIAL CORPORATION
August 13, 1997 - July 3, 2002
CONTINENTAL BROKER-DEALER CORP.
March 7, 1996 - August 1, 1996
STRATTON OAKMONT INC.
State Registrations and Notice Filings
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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
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