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Detailed Report
JOHN MATTHEW D AURIA
JOHN MATTHEW D'AURIA
CRD#: 5170062
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Previous Investment Adviser
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Previous Broker
BARRED BY FINRA OR THE SEC
The SEC has barred this individual from acting as a broker or investment adviser or otherwise associating with firms that sell securities or provide investment advice to the public.
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
20062007200820092010201120122013201420152016IAHARVEST CAPITAL ADVISORS, LLC (CRD# 125920)2009 - 2011 (2 years)IAMML INVESTORS SERVICES, INC. (CRD# 10409)2008 - 2008 (<1 year)IAAMERIPRISE FINANCIAL SERVICES,... (CRD# 6363)2006 - 2007 (1 year)
Disclosure(s)
View By:
10/27/2015
Regulatory
Final
Previous Registration(s)
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 06/24/2009 - 12/31/2011 HARVEST CAPITAL ADVISORS, LLC (CRD#:125920) WETHERSFIELD, CT
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 01/08/2008 - 12/31/2008 MML INVESTORS SERVICES, INC. (CRD#:10409) NEW HAVEN, CT
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 09/22/2006 - 12/19/2007 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) WOODBRIDGE, CT
For additional information about investment advisers or broker-dealers, please visit
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.