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

  • Bank stocks tracker jumps toward 10-year high after budget bill passes October 20, 2017
    Bank stocks got a bit lift Friday, as the passage of the budget bill by the Senate helped push up Treasury yields. The bill's passage is seen as paving the way for President Trump's proposed tax cuts, could lift longer-term interest rates by boosting economic growth and increasing the deficit, which would increase Treasury supply. The SPDR Financia […]
  • Huntington Bancshares boosts dividend by 38% October 20, 2017
    Huntington Bancshares Inc. said Friday it will raise its quarterly dividend by 38% to 11 cents a share, from 8 cents a share. The Ohio-based bank's new dividend will be payable Jan. 2, 2018 to shareholders of record on Dec. 18. Based on Thursday's stock closing price of $13.98, the new annual dividend rate implies a dividend yield of 3.15%, compare […]
  • UPDATE: Skechers stock zooms 26% premarket after earnings blow past estimates October 20, 2017
    Shares of athletic shoe maker Skechers USA Inc. zoomed more than 26% in premarket trade Friday, after the company blew past earnings estimates for the third quarter. Susquehanna analysts raised their stock price target to $38 from $34 on the news, and said international sales are driving "exceptional growth" while the U.S. business is healthy.
  • Sealed Air's CFO to leave company October 20, 2017
    Sealed Air Corp. said Friday Chief Financial Officer Carol Lowe will leave the packaging company on Oct. 31, after more than five years in the role. The company said Chief Accounting Officer William Stiehl will assume the role of acting CFO. Lowe joined the company as CFO in June 2012. Sealed Air's stock, which was still inactive in premarket trade, has […]
  • PayPal shares jump 3.8% as analysts praise earnings but hold ratings after strong 2017 gains October 20, 2017
    Shares of payment processor PayPal Holdings Inc. surged 3.8% in premarket trade Friday, after better-than-expected third-quarter earnings. Analysts weighing in mostly stuck with their ratings, but many raised stock price targets, including SunTrust Robinson Humphrey's Andrew Jeffrey, who raised his to $75 from $60 while maintaining a hold rating. " […]
  • GE's stock tumbles toward biggest post-earnings fall in over 8 years October 20, 2017
    Shares of General Electric Co. have extended their slide following a rare profit miss, and were now down 6.0% in very active premarket trade, putting them in danger of their worst one-day post-earnings performance in over eight years. Volume topped 1.4 million shares two hours before the open, making the stock the most actively traded in the premarket. This […]
  • Celgene downgraded to neutral at Baird for 'increasing risks to long-term goals' October 20, 2017
    Celgene Corp. was downgraded to neutral at Baird Equity Research on Friday after the drugmaker abandoned three Crohn's disease drug trials late Thursday. Baird analyst Brian Skorney also lowered the company's price target by 16% to $136. Celgene shares, which closed at $135.96 on Thursday, dropped 5.9% in premarket trade Friday. Skorney said the do […]
  • Procter & Gamble's stock falls after results October 20, 2017
    Shares of Procter & Gamble Co. fell 1.2% in premarket trade Friday, after the consumer products company reported fiscal first-quarter profit that rose above expectations but revenue that came up a bit shy. Net income for the quarter to Sept. 30 increased to $2.85 billion, or $1.06 a share, from $2.71 billion, or 96 cents a share, in the same period a yea […]
  • Honeywell shares rise 1.3% after Q3 profit match, revenue beat October 20, 2017
    Honeywell International Inc. shares surged 1.3% in premarket trade Friday after the company reported a third-quarter profit match and revenue beat. Earnings for the latest quarter rose to $1.35 billion, or $1.75 per share, from $1.24 billion, or $1.60 per share in the year-earlier period. The FactSet EPS consensus was $1.75. Revenue rose to $10.12 billion fr […]
  • First Data to acquire BluePay for $760 million in cash October 20, 2017
    First Data Corp. said Friday it has reached a deal to acquire BluePay Holdings Inc. from its owners, including TA Associates and BluePay managers, for $760 million in cash. BluePay is a provider of tech-enabled payment processing with about $19 billion of annual volume and more than 77,000 merchants in the U.S. and Canada. First Data is expecting the deal to […]