Gary J. Austin
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Gary Jon Austin was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1983. Gary had worked at 4 firms and has passed the Series 65, Series 63, Series 15, Series 5 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 6, 2007 - November 15, 2021
PDR ADVISORS, LLC
February 3, 1988 - November 25, 1989
DICKINSON & CO.
April 16, 1987 - September 29, 1987
INVEST FINANCIAL CORPORATION
July 1, 1985 - August 19, 1985
INVEST FINANCIAL CORPORATION
January 20, 1983 - June 19, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 15
Date: 5/22/1984
Foreign Currency Options ExaminationSeries 5
Date: 3/3/1983
Interest Rate Options ExaminationCurrent Firm
PDR ADVISORS, LLC
CRD#: 143126 / SEC#: 801-67554
Contact information
Red Flags
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