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.

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:

  • Working on Your Game: The Importance of Benchmarking March 6, 2017
    Jeff Pierce, Vice President, Advisor Benchmarking, explains how firms can benefit from participating in the study and acting on the results.
  • Offshore Investing: It’s Not as Foreign as You Think January 25, 2017
    Regional Director Cato Felan discusses offshore funds, the landscape of the offshore business, and how it has changed over the years.
  • Charitable Giving: The Client Conversation December 16, 2016
    Ken Nopar from the American Endowment Foundation is this episode's guest. Ken discusses the most popular vehicles used to set up charitable giving, including donor advised funds and private foundations, and compares the differences. He also discusses the types of assets a donor advised fund can accept, how charitable accounts can connect the next genera […]
  • 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.

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:

MarketWatch MarketPulse

  • Alaska Airlines to drop Virgin America brand in 2019 March 22, 2017
    The Virgin America brand will be dropped in 2019, Alaska Airlines announced Wednesday, three months after completing a $2.6-billion acquisition of the low-cost airline. Alaska Airlines had previously explored the idea of maintaining both brands. "While the Virgin America name is beloved to many, we concluded that to be successful on the West Coast we ha […]
  • Ultragenyx falls on results of seizure medication study March 22, 2017
    Ultragenyx Pharmaceutical Inc. dropped nearly 7% in after-hours trading Wednesday after the company said a study of a potential seizure medication failed to reduce observable seizures. The study, which focused on patients with a rare seizure-causing disease called glucose transporter type-1 deficiency syndrome, showed patients on the drug had fewer "abs […]
  • Share of Calvin Klein parent PVH soar after earnings March 22, 2017
    Shares of Calvin Klein parent PVH Corp. jumped nearly 8% late Wednesday after the company reported quarterly earnings above expectations and revenue that met guidance and Wall Street forecasts. PVH said it earned $101 million, or $1.26 a share, in the fourth quarter, compared with $134 million, or $1.63, a year ago. Adjusted for one-time items, the company e […]
  • Five Below shares rally on company's earnings beat, new-store openings March 22, 2017
    Shares of Five Below Inc. rose nearly 7% late Wednesday after the discount retailer reported per-share earnings above expectations and called for more store openings. Five Below said it earned $49.8 million, or 90 cents a share, in the fourth quarter, compared with $42 million in the year-ago period. Net sales rose to $388.1 million, from $326.4 million a ye […]
  • Nike's biggest-ever price drop can be blamed for Dow's fifth-straight loss March 22, 2017
    Nike Inc. is an easy scapegoat for the Dow Jones Industrial Average's fifth-straight loss Wednesday, as the athletic apparel company's stock suffered its biggest price decline since it went public in December 1980. The stock plunged $4.09, or 7.05%, after the company provided late Tuesday a tepid sales outlook along with its fiscal third-quarter re […]
  • U.S. stocks eke out gains; Nike drop weighs on Dow March 22, 2017
    The U.S. stock market rebounded from the previous day's selloff to close slightly higher Wednesday as gains in tech stocks helped lift the main indexes. However, a 7% drop in Nike Inc. shares weighed on Dow industrials, which posted a fifth consecutive decline. The S&P 500 advanced 4.43 points, or 0.2%, to 2,348.45, with technology shares leading th […]
  • Frontier Communications' stock sinks to 33-year low after Goldman downgrades to rare sell rating March 22, 2017
    Shares of Frontier Communications Corp. plunged 12% in active trade Wednesday, toward the lowest close in three decades, after Goldman Sachs turned bearish on the telecommunications company. Analyst Brett Feldman downgraded Frontier to a rare sell rating, after being at neutral since September 2014. Of the 2,902 companies covered by Goldman analysts, only 14 […]
  • No 'Plan B' for health care if bill doesn't pass House Thursday, Spicer says March 22, 2017
    There is no "Plan B" for health care if a vote in the House on Thursday does not pass, White House press secretary Sean Spicer said Wednesday. "This bill represents the best chance of repealing and replacing Obamacare," Spicer said about the American Health Care Act. Some conservative House members remain holdouts on the bill, saying it w […]
  • Four people dead, 20 injured in London terrorist attack: police March 22, 2017
    Four people have died, including one police officer, in a terrorist attack near the Houses of Parliament in London, Metropolitan Police said late Wednesday. Twenty people have been injured, said Mark Rowley, acting deputy commissioner of the Met Police, at a press conference. The incident began Wednesday afternoon on Westminster Bridge, where a car plowed in […]
  • Oil prices pare losses as traders turn attention to drop in U.S. gasoline supplies March 22, 2017
    Oil prices nearly erased earlier losses Wednesday afternoon. Prices had been set to settle at their lowest level since late November after U.S. government data revealed a rise of 5 million barrels in crude supplies to a record 533.1 million barrels for the week ended March 17. But the data also showed that gasoline inventories fell by 2.8 million barrels. Re […]