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MA

Mark James Aubry

CRD# 4396523·Registered 2001 - 2013
Barred: Mark James Aubry was barred by the SEC and is not permitted to conduct business in the covered capacity.

Professional Summary

Mark James Aubry was a registered financial advisor. Mark was a previously registered financial advisor and started their career in finance 2001 - 2013. Mark had worked at 4 firms and has passed the Series 66 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

25 years in the financial services industry

Current & Past Employments

AUBRY GROUP, LLC·CRD# 133362
RIA
Normal, IL
March 8, 2005 - December 31, 2013
USALLIANZ SECURITIES, INC.·CRD# 40875
RIA
Bloomington, IL
July 15, 2004 - December 31, 2004
USALLIANZ SECURITIES, INC.·CRD# 40875
BD
Minneapolis, MN
July 15, 2004 - December 31, 2004
CETERA WEALTH SERVICES, LLC·CRD# 13572
RIA
Bloomington, IL
March 31, 2004 - July 13, 2004
CETERA WEALTH SERVICES, LLC·CRD# 13572
BD
El Segundo, CA
March 25, 2004 - July 13, 2004
EQUITABLE ADVISORS, LLC·CRD# 6627
RIA
Bloomington, IL
October 10, 2001 - March 24, 2004
EQUITABLE ADVISORS, LLC·CRD# 6627
BD
New York, NY
August 24, 2001 - March 24, 2004

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Current Firm

AG
AUBRY GROUP, LLC

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

CRD#: 133362

Contact Information

Main Address

Normal, IL

Documents

Latest Form ADV

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Aug 2001About the Series 66 exam

Series 7 — General Securities Representative Examination

Passed Aug 2001About the Series 7 exam

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CRS (Client Relationship Summary)

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

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