Michael J. Simpson
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.
Michael John Simpson, who also goes by John Michael Simpson, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2008. Michael had worked at 3 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
January 10, 2013 - June 20, 2014
AURUS ADVISORS, INC.
April 15, 2010 - January 2, 2013
GROWTH CAPITAL SERVICES, INC.
November 10, 2008 - December 24, 2008
WM. H. MURPHY & CO., 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
AURUS ADVISORS, INC.
CRD#: 128096 / SEC#: , 8-66089
Contact information
FINRA licenses (3 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AUGUSTUS, RICHARD JOHN | PRESIDENT, DIRECTOR, CHIEF COMPLIANCE OFFICER, CFO | |
| RUSSO, JOSEPH DANIEL | VICE PRESIDENT | |
| COLLINS, ELIZABETH SARAH | FINOP | 4714831 |
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.
