Optimizing your experience...
Optimizing your experience...
Full transparency on how we operate. Registration status, custody arrangements, compliance policies, and how to verify our credentials.
Verify My Credentials (IAPD)State-registered investment advisor
Firm Name
Aurea Investments, LLC
CRD Number
#336580
Registration
State of Wisconsin
Regulator
Wisconsin Department of Financial Institutions
Registration as an investment advisor does not imply a certain level of skill or training. You can verify our registration and review any disclosures on the SEC's Investment Adviser Public Disclosure (IAPD) website.
Your assets are held by a qualified custodian, never with us
Aurea Investments does not have custody of client funds or securities. All client assets are held at qualified custodians (Interactive Brokers or Fidelity Institutional), regulated by the SEC and FINRA.
Coverage amounts, security controls, custodian comparison, and verification links.
Standards of conduct for our firm and personnel
Aurea Investments maintains a written Code of Ethics that establishes standards of conduct for all supervised persons. Our Code of Ethics is designed to:
A copy of our Code of Ethics is available to any client or prospective client upon request.
Planning for unexpected disruptions
Aurea Investments maintains a Business Continuity Plan (BCP) designed to minimize service disruptions in the event of emergencies, natural disasters, or other significant business interruptions.
Our plan addresses data backup and recovery, alternative communication methods, and procedures for continuing operations during disruptions. Because client assets are held at a qualified custodian (Interactive Brokers or Fidelity), you always have direct access to your accounts even if Aurea Investments experiences a disruption.
A summary of our Business Continuity Plan is available to clients upon request.
How to raise concerns or file a complaint
If you have a complaint about our services, we encourage you to contact us directly first so we can address your concerns:
You may also file a complaint with our regulator:
Wisconsin Department of Financial Institutions
Division of Securities
4822 Madison Yards Way, North Tower
Madison, WI 53705
Phone: (608) 266-2139
File a complaint online
Access our complete regulatory filings and disclosure documents.