Gary G. Auleta
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.
Gary Glenn Auleta, who also goes by Gary Glenn Aulletta, was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1970. Gary had worked at 5 firms and has passed the Series 63, SIE, Series 1, Series 4, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 14, 2003 - January 4, 2016
TRIDENT PARTNERS LTD.
August 4, 1997 - February 7, 2003
GLENN MICHAEL FINANCIAL, INC.
March 21, 1991 - July 11, 1997
INVESTORS ASSOCIATES, INC.
August 26, 1988 - March 21, 1991
JANNEY MONTGOMERY SCOTT LLC
November 24, 1986 - September 13, 1988
THE RANDALL-GEORGE CORPORATION
January 6, 1970 - November 10, 1986
INVESTORS ASSOCIATES, 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
Series 1
Date: 9/18/1967
Registered Representative ExaminationCurrent Firm
TRIDENT PARTNERS LTD.
CRD#: 41258 / SEC#: , 8-49342
Contact information
FINRA licenses (50 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 5 |
| Arbitration | 4 |
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.
