FINRA BrokerCheck

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FINRA oversees the people and firms that sell stocks, bonds, mutual funds and other securities. Simply type in your current or prospective broker’s name to see employment history, certifications, and licenses—as well as regulatory actions, violations or complaints you might want to know about. You also can get information about your broker’s firm. There’s no reason not to check.

BrokerCheck can tell you…

Individual and firms can be registered investment advisors or brokers or both
…if a broker or brokerage firm is registered.
 
Individuals and firms can be registered as brokers or investment advisers—or both. Individuals with these designations have particular knowledge and take on legal responsibilities. Individuals and firms must be registered with FINRA (for brokers), the SEC (for certain investment advisers), and in those states where required by law.
Disclosures include customer complaints, regulatory actions and criminal convictions
…what has been disclosed to regulators.
 
From the time they register—and throughout their careers in the securities industry—individuals and firms must inform FINRA if certain events occur; these events include regulatory actions, criminal convictions, and for brokers, customer complaints.
Experience and registration history with brokerage firms
…about a broker’s experience.
 
BrokerCheck provides an overview of a broker’s work history, as well as brokerage firm history.
Qualifications including state licenses for brokerage firms, and exams passed and licenses for brokers
…about what a broker or brokerage firm is able to do.
 
Brokers and investment advisers are qualified to perform certain tasks for clients, based on the exams they have passed and state licenses they hold. Individuals and firms must register in each state where they have customers.
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奥瑞伊兰理财首选

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College Financial Aid – FAFSA Overview

For more detailed videos, please visit our “College Financial Aid” section.

References

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Auri Elan Financial is Proud to Offer DFA Funds, Board of Directors include 2013 Nobel Laureate, Prof. Eugene Fama, widely recognized as the “Father of Modern Finance”

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Dimensional Overview

A summary presentation highlighting key aspects of Dimensional’s approach to investing.

A Different Way to Invest

This presentation answers key questions many investors ask and highlights Dimensional’s research-based approach to investing.

Prof. Eugene Fama

Eugene_FamaEugene F. Fama is the principal scholar whose groundbreaking work inspired the founding of Dimensional. Widely recognized as the “Father of Modern Finance,” Professor Fama developed the efficient market hypothesis. He serves on Dimensional’s board of directors and Investment Policy Committee. In this capacity, Professor Fama advises the firm on many of its strategies and is also a frequent speaker at Dimensional conferences and seminars. Professor Fama has written two books and published more than 100 articles in academic journals. His paper “The Cross-Section of Expected Stock Returns,” coauthored with Kenneth R. French, won the 1992 Smith Breeden Prize for the best paper in the Journal of Finance. And his paper “Market Efficiency, Long-Term Returns, and Behavioral Finance” won the 1998 Fama-DFA Prize for the best paper published in the Journal of Financial Economics in the areas of capital markets and asset pricing.
Professor Fama received the Fred Arditti Innovation Award from the CME Center for Innovation in 2007. He was also the first recipient of three major prizes for research in finance: the Deutsche Bank Prize in Financial Economics in 2005, the Morgan Stanley American Finance Association Award for Excellence in Finance in 2007, and the Onassis Prize in Finance in 2009. His other awards include the 1982 Chaire Francqui (Belgian National Science Prize) and the 2006 Nicholas Molodovsky Award from the CFA Institute. He was named a Nobel laureate in Economic Sciences in 2013.Professor Fama was the first elected fellow of the American Finance Association in 2001 and is a fellow of the Econometric Society and the American Academy of Arts and Sciences. He is also an advisory editor of the Journal of Financial Economics, and chairman of the Center for Research in Security Prices at the University of Chicago Booth School of Business.Professor Fama earned a bachelor’s degree from Tufts University, and an MBA and PhD from the University of Chicago Booth School of Business in 1964. He joined the Chicago Booth faculty in 1963. He has been awarded a doctor of law degree from the University of Rochester; a doctor of law degree from DePaul University; a doctor honoris causa from the Catholic University of Leuven, Belgium; and a doctor of science honoris causa from Tufts.

Dimensional Insights:

  • The Dimensional Story: Telling Your Story Using Quotes October 18, 2016
    Ben Walker, Head of Client Service and vice president, explains how he turned quotes from Dimensional’s thought leaders into a presentation about the firm’s story.
  • All Things Fixed Income 2016 May 26, 2016
    Senior Portfolio Manager Joe Kolerich discusses the success of Dimensional’s Investment Grade Portfolio, which reached its five-year anniversary this spring. Joe also addresses key fixed income issues.
  • Behavioral Biases: Dealing with the Cramer Effect April 13, 2016
    Vice President Scott Bosworth discusses key concepts from his presentations on investor behavior, including why emotion often overwhelms reason. Scott lays out his thoughts on how to best deal with behavioral biases including regret, recency bias, and speculating vs. investing. Finally, his stories on Sir Isaac Newton and the Cramer Effect provide valuable l […]
  • The Kitchen Sink: Global Premiums, Emerging Markets, Currency, Dividends, and the Fed February 18, 2016
    Gerard O’Reilly returns to share his insight on global markets and examines probabilities of not realizing premiums over a decade and how to set client expectations around premiums. Additionally, recent performance of Emerging Markets and China, how to think about these segments in client allocations, and the effect of currency and the volatility of currency […]
  • The Write Stuff: Ideas for Creating and Maintaining a Client Newsletter December 17, 2015
    Senior Writer Bryan Harris, Joel Hefner, and J Elder discuss best practices for creating a newsletter and how to streamline it going forward. Bryan shares his experiences as a financial writer and newsletter publisher to help advisors think about format, content, and authors.

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Welcome to Auri Elan!

Auri Elan Financial Group (Auri Elan) is an independent full-service wealth management firm specializing in providing comprehensive and objective investment consultation, financial and insurance planning to individual investors, companies, select group of affluent families and entrepreneurs.

Auri Elan was founded on the principles of ELITE Expertise, Loyalty, Independence, Tenacity, Enthusiasm.

The mission of Auri Elan is to help our clients achieve their financial goals and dreams by providing sound unbiased advice, exceptional personal service, and high quality suitable investments and insurance while working diligently in their best interests at all times.

Auri Elan consists of four divisions:

  • Auri Elan Financial – Investment, Retirement (IRA, Roth, Rollovers), Education (529, Coverdell), and Estate Planning and Implementation
  • Auri Elan Insurance – An independent insurance agency for your Life insurance needs.
  • Auri Elan Retirement Plans – Design, install, and maintain retirement plans (such as 401Ks, SEP, SIMPLE) for companies and small-business owners.
  • Yillionaire Family Office – A multi-family office (MFO) established for families with exceptional wealth.

Auri Elan is affiliated with LPL Financial – nation’s leading diversified financial services companies and the largest independent broker/ dealer supporting more than 13,000 financial advisors nationwide as reported in Financial Planning magazine 1996-2012, based on total revenues.

Please contact us for a complimentary Portfolio and Insurance Review. Thank you for your consideration, business, and referral!

Your Finance Deserves Nothing Less!

Best Regards,

Richard Suder, CFA, CFP®, ChFC, CLU, CRPS, AAMS
President

Auri Elan Financial Group
1185 Washington St Suite 2
Newton, MA 02465
Tel: 617-329-1185
Cell: 617-276-6458
Fax: 617-370-0507
Email: richard.suder@lpl.com
Web: www.aurielan.com

Securities, Financial Planning and Advisory Services offered through LPL Financial. A Registered Investment Advisor, Member FINRA/SIPC.

Resources:
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Your Finance Deserves Nothings Less

Please check out other videos by Auri Elan. Thanks.

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MarketWatch MarketPulse

  • Southwest November traffic growth outpaces supply increase December 7, 2016
    Southwest Airlines Co. reported Wednesday a jump in a key airline metric for November, as traffic growth outpaced an increase in capacity. Load factor increased 1.8 percentage points to 85.1% from 83.3% a year ago, as traffic grew 7.2% to 10.4 billion revenue passenger miles and capacity rose 4.9% to 12.3 billion available seat miles. The air carrier now exp […]
  • J.P. Morgan, other banks slapped with EU fines totaling $520 mln December 7, 2016
    European Union regulators on Wednesday hit J.P. Morgan Chase , HSBC and Crédit Agricole with fines totaling €485 million ($520 million), saying they participated in a cartel that aimed to steer a benchmark interest rate. The banks "colluded on euro interest rate derivative pricing elements, and exchanged sensitive information, in breach of EU antitrust […]
  • Italy's Prime Minister Renzi to resign Friday: report December 7, 2016
    Italian Prime Minister Matteo Renzi will turn in his resignation on Friday, according to a Reuters report Wednesday, citing a parliamentary source. Renzi said Sunday he would leave his post after voters rejected a referendum proposing changes to the country's constitution. Renzi was reportedly asked to stay on long enough to oversee the passage of Italy […]
  • Deadly earthquake rocks Indonesia's Aceh province December 7, 2016
    A strong undersea earthquake struck Indonesia's Aceh province early Wednesday, causing buildings to collapse and a number of deaths. The U.S. Geological Survey reported the 5:03 a.m. quake at 6.4-magnitude, at a depth of 17 kilometers off the northwest coast of the island of Sumatra. Indonesian TV reported at least 20 deaths. Officials said there was no […]
  • Tesla recalls charging adapters after two overheat December 6, 2016
    Tesla Motors Inc. is recalling three types of charging adapters after two of the devices overheated. The company said in an email sent to customers Tuesday that it was recalling the optional adapters, used to plug the company's electric-car chargers into different types of outlets, after two overheated. The company said the NEMA 14-30 model of adapter o […]
  • Western Digital shares up nearly 5% as company raises quarterly estimates December 6, 2016
    Shares of Western Digital Corp. rose nearly 5% late Tuesday after the Irvine, Calif., hardware maker tweaked upward its revenue and adjusted per-share earnings estimates for fiscal second quarter. Western Digital said it expects sales to reach about $4.75 billion, compared with its earlier forecast of approximately $4.7 billion. Per-share earnings are seen i […]
  • API data show U.S. crude-oil supply down 2.2 million barrels: sources December 6, 2016
    The American Petroleum Institute late Tuesday reported a fall of 2.2 million barrels in U.S. crude supplies for the week ended Dec. 2, according to sources. Analysts polled by S&P Global Platts expected stockpiles to decline by 1.7 million barrels. Supply data from the Energy Information Administration will be released Wednesday morning. January crude wa […]
  • SeaWorld to eliminate 320 positions as part of restructuring December 6, 2016
    SeaWorld Entertainment Inc. will eliminate 320 positions at its headquarters and across 12 theme parks as part of its restructuring effort to reduce costs by about $65 million, the company said Tuesday. The amusement park operator will book a restructuring charge of $9 million that is expected to lower its fourth-quarter earnings. However, the company did no […]
  • Dave & Buster's surges to record high after blowout earnings report December 6, 2016
    Dave & Buster's Entertainment Inc. jumped to record highs Tuesday afternoon after the chain of adult arcades and eateries easily beat earnings expectations. Dave & Buster's reported net income of $10.8 million, or 25 cents a share, on sales of $228.7 million, more than doubling its profit and showing a 19% revenue gain from the same quarter […]
  • Navigators Group's board OKs stock split December 6, 2016
    The Navigators Group Inc. said late Tuesday its board of directors has authorized a two-for-one stock split in the form of a stock dividend. Shareholders of record Dec. 30 will receive one additional share for every share held, the insurance holding company said. Shares of Navigators were flat in late trading after ending the regular session up 2%. Market Pu […]

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