Randall T. Becker
Professional summary
Randall Todd Becker was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Randall is a previously registered financial advisor and started their career in finance in 1996. Prior to being barred, Randall had worked at 4 firms, which includes AURA FINANCIAL SERVICES INC., SUNAMERICA SECURITIES INC., FINANCIAL & ESTATE STRATEGIES INC, SENTRA SECURITIES CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 10, 2002 - December 19, 2003
AURA FINANCIAL SERVICES, INC.
December 13, 1999 - April 22, 2002
SUNAMERICA SECURITIES, INC.
December 3, 1999 - December 7, 2004
FINANCIAL & ESTATE STRATEGIES, INC
March 15, 1996 - November 11, 1999
SENTRA SECURITIES CORPORATION
State Registrations and Notice Filings
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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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