Daniel R. Baker
Professional summary
Daniel R Baker was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Daniel is a previously registered financial professional and started their career in finance in 2004. Prior to being barred, Daniel had worked at 3 firms, which includes AURA FINANCIAL SERVICES INC., SALOMON GREY FINANCIAL CORPORATION, LH ROSS & COMPANY INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 28, 2005 - January 27, 2006
AURA FINANCIAL SERVICES, INC.
August 16, 2004 - September 6, 2005
SALOMON GREY FINANCIAL CORPORATION
July 14, 2004 - August 20, 2004
LH ROSS & COMPANY, INC.
State Registrations and Notice Filings
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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
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