Erik J. Matz
Professional summary
Erik Joseph Matz 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.
Erik is a previously registered financial professional and started their career in finance in 1996. Prior to being barred, Erik had worked at 8 firms, which includes AURA FINANCIAL SERVICES INC., SALOMON GREY FINANCIAL CORPORATION, THE MINNEAPOLIS COMPANY INC., SCHNEIDER SECURITIES INC., LEGEND MERCHANT GROUP INC., INVESTORS ASSOCIATES INC., ROYCE INVESTMENT GROUP INC., KENSINGTON WELLS INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 4, 2002 - September 18, 2006
AURA FINANCIAL SERVICES, INC.
March 6, 2002 - October 31, 2002
SALOMON GREY FINANCIAL CORPORATION
October 14, 1998 - May 23, 2000
THE MINNEAPOLIS COMPANY, INC.
July 30, 1997 - September 11, 1998
SCHNEIDER SECURITIES, INC.
April 23, 1997 - July 29, 1997
LEGEND MERCHANT GROUP, INC.
January 6, 1997 - May 13, 1997
INVESTORS ASSOCIATES, INC.
October 25, 1996 - December 13, 1996
ROYCE INVESTMENT GROUP, INC.
October 22, 1996 - November 19, 1996
KENSINGTON WELLS INCORPORATED
May 1, 1996 - October 7, 1996
INVESTORS ASSOCIATES, 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.
