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:


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

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  • Dow industrials just marked the first tumble of at least 1% in 64 sessions August 17, 2017
    The Dow Jones Industrial Average on Thursday closed with its first drop of at least 1%, snapping a streak that had run for more than 60 sessions. The Dow finished 274 points, or 1.2%, lower at 21,750, as the broader stock market faced its biggest selloff since last week's North Korea-fueled jitters. The blue-chip gauge's absence of down days of at […]
  • Wall Street's 'fear gauge'--the VIX--jumps 33% amid tumbling Dow, Barcelona terror attack August 17, 2017
    A widely followed gauge of fear and volatility on Wall Street spiked in Thursday, underscoring a sudden pickup of worry amid hand-wringing over President Donald Trump, a reported terror attack in Spain and concerns about sluggish inflation. The CBOE Volatility Index traded up about 32.5% at 15.55. The index, which tracks options bets on the S&P 500 index […]
  • Planned infrastructure advisory council canceled, White House says August 17, 2017
    Plans for a White House advisory council on infrastructure have been canceled, a White House spokesperson told MarketWatch on Thursday. The decision not to move forward with the council comes in the wake of the dissolving of two separate councils on Wednesday. Business executives have backed away from President Donald Trump after his comments on the violence […]
  • Gap shares soar on strong second-quarter earnings, 2017 outlook hike August 17, 2017
    Shares of Gap Inc. rallied in Thursday's extended session after the retailer posted better-than-expected quarterly results and raised its 2017 earnings outlook. The company, whose brands include the namesake chain of stores, Banana Republic and Old Navy, reported its second-quarter earnings more than doubled to $271 million, or 68 cents a share, from $1 […]
  • Ross Stores shares rally as Q2 earnings top views, company forecasts sales growth August 17, 2017
    Shares of Ross Stores Inc. rose more than 11% late Thursday after the retailer reported second-quarter earnings and sales above Wall Street expectations and forecast sales and earnings growth for the second half of the year and for the full fiscal year. Ross said it earned $317 million, or 82 cents a share, in the quarter, compared to $282 million, or 71 cen […]