David R. Austin
Professional summary
David Robert Austin, CFP®, who also goes by Dave Austin, is a registered financial professional currently at THE LEADERS GROUP, INC. located in Summit, New Jersey.
David is registered as a RR (Registered Representative) and started their career in finance in 1984. David has worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Robert Austin's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 12, 2021 - Present
THE LEADERS GROUP, INC.
Office #1: 475 Springfield Ave, Summit, NJ 07901November 20, 2007 - January 6, 2021
P.J. ROBB VARIABLE, LLC
September 3, 2002 - October 31, 2007
THE LEADERS GROUP, INC.
January 1, 2002 - July 18, 2002
SIGNATOR INVESTORS, INC.
January 10, 2001 - January 1, 2002
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
October 14, 1998 - November 6, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 26, 1984 - July 28, 1998
EQUITY SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/12/2021)
Exams
FINRA
Current Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
