Brett W. Coleman
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.
Brett William Coleman, who also goes by Brett Coleman, was a registered financial professional .
Brett is a previously registered financial professional and started their career in finance in 1997. Brett had worked at 11 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 6, 2008 - April 3, 2009
AURA FINANCIAL SERVICES, INC.
February 17, 2006 - October 10, 2006
BROOKVILLE CAPITAL PARTNERS
August 25, 2004 - February 28, 2006
BENSON YORK GROUP, INC.
July 13, 2004 - August 11, 2004
LH ROSS & COMPANY, INC.
January 6, 2004 - July 8, 2004
GRANITE ASSOCIATES, INC
April 28, 2003 - January 21, 2004
CONTINENTAL BROKER-DEALER CORP.
September 4, 2002 - May 28, 2003
GUNNALLEN FINANCIAL, INC
January 2, 2001 - October 3, 2002
HARRISON SECURITIES, INC.
September 17, 1999 - December 8, 1999
JOSEPH DILLON & COMPANY INC.
March 9, 1998 - December 31, 2000
WHITEHALL WELLINGTON INVESTMENTS, INC.
September 5, 1997 - February 26, 1998
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.
