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Aubrey Theodore Stautberg Jr

CRD# 712510·Registered 1983 - 2016
Previously Registered: Being a previously registered professional could mean that Aubrey 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.

Professional Summary

Aubrey Theodore Stautberg JR, who also goes by Aubrey Theodore Stautberg, Ted Stautberg Jr, was a registered financial advisor. Aubrey was a previously registered financial professional and started their career in finance 1983 - 2016. Aubrey had worked at 1 firm and has passed the Series 63, SIE 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

Aubrey Theodore Stautberg, Ted Stautberg Jr

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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

45 years in the financial services industry

Current & Past Employments

TRIUMPH SECURITIES CORPORATION·CRD# 14236
BD
New York, NY
December 5, 1983 - January 19, 2016

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Current Firm

TS
TRIUMPH SECURITIES CORPORATION

TRIUMPH SECURITIES CORPORATION | TRUIMPH SECURITIES CORPORATION

CRD#: 14236 / SEC#: 8-26312
BD
Terminated by SEC on 01/19/2016

Contact Information

Established

New York since 05/20/1981

Firm Type

Corporation

Fiscal Year End

June

Documents

Direct owners and executive officers

NamePositionCRD#
TRIUMPH RESOURCES CORPORATIONSHAREHOLDER—
FOSTER, ESTEE DORFMANCFO AND FINOP2696529
STAUTBERG, AUBREY THEODORE JRCHAIRMAN,TREASURER, CHIEF COMPLIANCE OFFICER AND CHIEF EXECUTIVE OFFICER712510

Disclosures

Regulatory Event

6

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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 63 — Uniform Securities Agent State Law Examination

Passed Sep 1981About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Jan 2016About the SIE exam

Series 7 — General Securities Representative Examination

Passed Mar 2010About 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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