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

  • Chipotle detected 'unauthorized activity' in card payment network at its restaurants April 26, 2017
    Chipotle Mexican Grill Inc. disclosed Wednesday that it recently detected "unauthorized activity" on the payment-processing network that supports its restaurants. Although the fast-casual Mexican food restaurant operator said it has reported the issue to the authorities and payment card processors. The company believes the issue has been contained, […]
  • Anthem stock surges 3% after first-quarter earnings beat April 26, 2017
    Anthem Inc. shares rose 2.9% in premarket trade Wednesday after the company reported a first-quarter earnings beat and upbeat full year guidance. Earnings rose to $1.0 billion, or $3.73 per share, from $703 million, or $2.63 per share, in the year-earlier period. Adjusted earnings-per-share were $4.68, compared with the FactSet consensus of $3.88. Revenue ro […]
  • KKR Real Estate Finance Trust to offer 10 million shares in IPO April 26, 2017
    KKR Real Estate Finance Trust Inc. unveiled Wednesday the launch of its initial public offering, in which it will sell 10 million shares priced in a range of $20.50 to $21.50. The company, which originates and acquires senior loans secured by commercial real estate assets, is planning to list on the New York Stock Exchange under the ticker symbol "KREF. […]
  • Dr. Pepper Snapple earnings beat estimates, but revenue falls short April 26, 2017
    Dr. Pepper Snapple Group Inc. reported first-quarter net income of $177.0 million, or 96 cents per share, compared with $182.0 million, or 96 cents per share, for the same period last year. Adjusted earnings were $1.01 per share, ahead of the 96-cent FactSet consensus. Sales were $1.51 billion, up from $1.49 billion but below the $1.55 billion FactSet consen […]
  • Twitter shares soar after first-quarter earnings beat April 26, 2017
    Shares of Twitter Inc. soared 13% in premarket trade Wednesday after the social media company beat first-quarter earnings expectations. Twitter reported a net loss of $62 million, or a loss of 9 cents per share, compared to a net loss of $80 million, or a loss of 12 cents per share, in the year-earlier period. It reported adjusted earnings per share of 11 ce […]
  • P&G earnings beat expectations, but revenue misses April 26, 2017
    Procter & Gamble Co. shares fell 0.5% in Wednesday premarket trading after it reported third-quarter sales that missed expectations. Net income was $2.52 billion, or 93 cents per share, down from $2.75 billion, or 97 cents per share, for the same period last year. Adjusted earnings were 96 cents, beating the 94-cent FactSet consensus. Sales totaled $15.6 […]
  • Burger King parent Restaurant Brands beats first-quarter earnings expectations April 26, 2017
    Burger King and Popeyes Louisiana Kitchen parent Restaurant Brands International Inc. beat first-quarter earnings expectations. It reported net income of $50.2 million, or 21 cents per share, compared to $50 million, or 21 cents per share, in the year-earlier period. It reported adjusted earnings per share of 36 cents, above the FactSet consensus of 34 cents […]
  • Northrop Grumman tops estimates, raises full-year EPS outlook April 26, 2017
    Northrop Grumman Corp. said Wednesday it had net income of $640 million, or $3.63 a share, in its first quarter, up from $556 million, or $3.03 a share, in the year-earlier period. Adjusted per-share earnings came to $3.13. Sales climbed to $6.267 billion from $5.956 billion. The FactSet consensus was for EPS of $2.93 and sales of $6.146 billion. The defense […]
  • United Technologies' stock climbs as profit and sales rise above expectations April 26, 2017
    Shares of United Technologies Corp. rose 0.8% in premarket trade Wednesday, after the diversified industrial company reported first-quarter profit and sales that beat expectations. Net earnings increased to $1.39 billion, or $1.73 a share, from $1.18 billion, or $1.42 a share, in the same period a year ago. Excluding non-recurring items, adjusted earnings pe […]
  • PepsiCo. quarterly sales, core earnings surpass expectations April 26, 2017
    PepsiCo. on Wednesday posted quarterly sales and earnings that outstripped Wall Street's forecasts. The food and beverage heavyweight said first-quarter net income was $1.32 billion, or 91 cents a share, compared with $931 million, or 64 cents a share, a year ago. Core earnings of 94 cents a share were above the FactSet estimate of 92 cents a share. Pep […]