Dirk S. Aulabaugh

GREEN STREET

Newport Beach, CA 92660

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CRD#: 2871936

Professional summary

Dirk Smith Aulabaugh is a registered financial advisor currently at GREEN STREET located in Newport Beach, California.

Dirk is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Dirk has worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Name: Bergstrom Center for Real Estate Studies at the University of Florida Address: 100 Bryan Hall, PO Box 117150, Gainesville, FL 32611-7150 Nature of the other business: Advisory Board Investment-related: No Your position: Advisory Board Member Title: Advisory Board Member Your duties: I'm a volunteer that speaks with students and gives advice on the program to the Real Estate Center Director. The start date of your relationship with the other business: October 2014 Approximate number of hours per month you devote to the other business: 3 days per year The number of hours you devote to the other business during securities trading hours: 3 days per year

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dirk Smith Aulabaugh's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

December 18, 2014 - Present

GREEN STREET

Office #1: 100 Bayview Circle Suite 400, Newport Beach, CA 92660

RIA

CRD#: 172378

Newport Beach, CA

Past

November 7, 2018 - December 23, 2019

GREEN STREET TRADING, LLC

CRD#: 28937

NEWPORT BEACH, CA

Past

July 16, 2012 - December 15, 2014

GREEN STREET TRADING, LLC

RIA

CRD#: 28937

NEWPORT BEACH, CA

Past

February 20, 2012 - December 15, 2014

GREEN STREET TRADING, LLC

CRD#: 28937

NEWPORT BEACH, CA

Past

September 21, 1999 - March 2, 2000

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

NEW YORK, NY

Past

September 1, 1998 - September 20, 1999

ROBERTSON STEPHENS, INC.

CRD#: 41271

SAN FRANCISCO, CA

Past

January 15, 1998 - September 1, 1998

BANCAMERICA SECURITIES, INC.

CRD#: 17977

SAN FRANCISCO, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(12/18/2014)

IAR

Texas
(6/2/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/2/2012

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/18/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/15/2014

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/17/2012

General Securities Representative Examination

Current Firm

GREEN STREET

GREEN STREET | GREEN STREET RESEARCH, LLC | GREEN STREET ADVISORS, LLC

CRD#: 172378 / SEC#: 801-80137

RIA

Registered Investment Advisory firm - (3/1/2022 Terminated)

California

Registered Investment Advisory firm - (2/28/2022 Approved)

Texas

Registered Investment Advisory firm - (5/16/2022 Conditional Restricted)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

100 Bayview Circle Suite 400, Newport Beach, CA 92660

Mailing Address

Phone number

(949) 640-8780

Established

Firm type

Fiscal year end

# of Employees

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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.

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Dirk S. Aulabaugh

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dirk Smith Aulabaugh's CRS (Customer Relationship Summary).

Certified licenses

Experience

GREEN STREET

GREEN STREET TRADING, LLC

GREEN STREET TRADING, LLC

GREEN STREET TRADING, LLC

BANC OF AMERICA SECURITIES LLC

ROBERTSON STEPHENS, INC.

BANCAMERICA SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 3/2/2012

Series 63

Date: 10/18/1999

SIE

Date: 12/15/2014

Series 7

Date: 2/17/2012

Current Firm

GREEN STREET

Contact information

Documents

Red Flags

Company Information

GREEN STREET

TRUST BUT VERIFY

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