AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
AS

Aurora N. Sprenger

Some features on this profile are disabled
CRD#: 3056247
AS

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.

Aurora Nicole Sprenger, who also goes by Aurora Nicole Smith, was a registered financial professional .

Aurora is a previously registered financial professional and started their career in finance in 1999. Aurora had worked at 11 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Aurora Nicole Smith

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 7, 2015 - December 23, 2015

J.P. TURNER & COMPANY, L.L.C.

BD
CRD#: 43177
El Segundo, CA
Past

July 7, 2015 - January 21, 2016

VSR FINANCIAL SERVICES, INC.

BD
CRD#: 14503
el segundo, CA
Past

July 7, 2015 - January 21, 2016

SUMMIT BROKERAGE SERVICES, INC.

BD
CRD#: 34643
EL SEGUNDO, CA
Past

July 7, 2015 - January 21, 2016

INVESTORS CAPITAL CORP.

BD
CRD#: 30613
EL SEGUNDO, CA
Past

July 7, 2015 - January 21, 2016

GIRARD SECURITIES, INC.

BD
CRD#: 18697
EL SEGUNDO, CA
Past

September 28, 2012 - January 21, 2016

CETERA FINANCIAL SPECIALISTS LLC

BD
CRD#: 10358
EL SEGUNDO, CA
Past

February 29, 2008 - July 29, 2011

VOYA FINANCIAL ADVISORS, INC.

BD
CRD#: 2882
EL SEGUNDO, CA
Past

February 29, 2008 - January 21, 2016

CETERA ADVISORS LLC

BD
CRD#: 10299
EL SEGUNDO, CA
Past

January 8, 2007 - January 21, 2016

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
EL SEGUNDO, CA
Past

October 29, 2004 - November 2, 2005

CETERA ADVISORS LLC

BD
CRD#: 10299
GREENWOOD VILLAGE, CO
Past

October 29, 2004 - November 2, 2005

VOYA FINANCIAL ADVISORS, INC.

BD
CRD#: 2882
WINDSOR, CT
Past

June 4, 2002 - November 2, 2005

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
EL SEGUNDO, CA
Past

November 8, 2000 - February 28, 2002

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
WESTLAKE, TX
Past

March 30, 1999 - September 1, 2000

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 4/29/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/26/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 1/21/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/1/1999
General Securities Representative Examination

Current Firm

JT
J.P. TURNER & COMPANY, L.L.C.
J.P. TURNER & COMPANY | J.P. TURNER & COMPANY, L.L.C.

CRD#: 43177 / SEC#: , 8-50156

BD
Terminated by SEC on 04/04/2016
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Mailing Address
Phone number
Established
Georgia since 04/11/1997
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
BRAVES AQUISITION LLCMEMBER
SHELSON, MARK PAULCORPORATE TREASURER1819252
WOLL, EDWARD BARNETTCHIEF COMPLIANCE OFFICER1096606

Disclosures

Regulatory Event30
Arbitration12

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.

Company Information

J.P. TURNER & COMPANY, L.L.C.

CRD#: 43177

TRUST BUT VERIFY

Monitor Aurora Sprenger

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics