Kurt Y. Muller
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.
Kurt Yasin Muller was a registered financial advisor .
Kurt is a previously registered financial advisor and started their career in finance in 1998. Kurt had worked at 11 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 28, 2007 - December 4, 2008
AURA FINANCIAL SERVICES, INC.
August 2, 2006 - April 5, 2007
LIBERTY PARTNERS FINANCIAL SERVICES, LLC
August 19, 2005 - June 27, 2006
JHS CAPITAL ADVISORS, LLC
June 13, 2005 - June 27, 2006
JHS CAPITAL ADVISORS, LLC
March 23, 2004 - June 15, 2005
LADENBURG THALMANN ASSET MANAGEMENT INC
January 6, 2003 - June 15, 2005
LADENBURG THALMANN & CO. INC.
October 22, 2002 - January 23, 2003
MML INVESTORS SERVICES, LLC
May 7, 2002 - October 16, 2002
CANTELLA & CO., INC.
January 8, 2002 - May 3, 2002
BOLTON GLOBAL CAPITAL
December 12, 2001 - January 2, 2002
IDS LIFE INSURANCE COMPANY
December 12, 2001 - January 2, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
September 15, 1998 - October 9, 2001
LADENBURG CAPITAL MANAGEMENT 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.
