MA

Mark J. Aubry

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CRD#: 4396523
MA

Professional summary


Mark James Aubry was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Mark is a previously registered financial advisor and started their career in finance in 2001. Prior to being barred, Mark had worked at 4 firms, which includes AUBRY GROUP LLC, USALLIANZ SECURITIES INC., CETERA WEALTH SERVICES LLC, EQUITABLE ADVISORS LLC.

Question & Answer


Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

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

March 8, 2005 - December 31, 2013

AUBRY GROUP, LLC

RIA
CRD#: 133362
NORMAL, IL
Past

July 15, 2004 - December 31, 2004

USALLIANZ SECURITIES, INC.

RIA
CRD#: 40875
BLOOMINGTON, IL
Past

July 15, 2004 - December 31, 2004

USALLIANZ SECURITIES, INC.

BD
CRD#: 40875
MINNEAPOLIS, MN
Past

March 31, 2004 - July 13, 2004

CETERA WEALTH SERVICES, LLC

RIA
CRD#: 13572
BLOOMINGTON, IL
Past

March 25, 2004 - July 13, 2004

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
EL SEGUNDO, CA
Past

October 10, 2001 - March 24, 2004

EQUITABLE ADVISORS, LLC

RIA
CRD#: 6627
BLOOMINGTON, IL
Past

August 24, 2001 - March 24, 2004

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
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
RR
IAR
Series 66
Date: 8/1/2001
Uniform Combined State Law Examination
General Industry/Product Exam

Current Firm


AG
AUBRY GROUP, LLC
AUBRY & EUSTICE, LLC | AUBRY FINANCIAL GROUP, LLC | AUBRY GROUP, LLC

CRD#: 133362 / SEC#:

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Contact information


Main Address
Normal, IL
Mailing Address
Phone number
Established
Firm type
Fiscal year end
# of Employees

Red Flags


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Company Information


AUBRY GROUP, LLC

CRD#: 133362

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