Evan G. Esposito
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.
Evan Gerard Esposito was a registered financial professional .
Evan is a previously registered financial professional and started their career in finance in 1998. Evan 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 17, 2006 - December 21, 2007
AURA FINANCIAL SERVICES, INC.
August 3, 2006 - October 9, 2006
JOSEPH STEVENS & CO., INC.
April 28, 2006 - August 8, 2006
BASIC INVESTORS INC.
June 20, 2005 - April 11, 2006
GUNNALLEN FINANCIAL, INC
March 1, 2004 - July 15, 2004
LH ROSS & COMPANY, INC.
November 11, 2003 - February 24, 2004
GREAT EASTERN SECURITIES, INC.
January 31, 2003 - May 8, 2003
GUNNALLEN FINANCIAL, INC
March 22, 2002 - April 26, 2002
EKN FINANCIAL SERVICES INC.
March 5, 2002 - March 25, 2002
S.W. BACH & COMPANY
January 5, 2001 - April 9, 2001
AMERICAN INVESTMENT SERVICES, INC.
October 7, 1998 - May 22, 2001
LADENBURG CAPITAL MANAGEMENT INC.
June 5, 1998 - July 9, 1998
TASIN & COMPANY, 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.
