Timothy D. 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.
Timothy David Austin was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1985. Timothy had worked at 7 firms and has passed the Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 22, 2000 - December 12, 2001
FINANCIAL AMERICA SECURITIES, INC.
May 8, 2000 - October 3, 2000
A. CH. SECURITIES, INC.
November 21, 1997 - October 6, 1998
FSC SECURITIES CORPORATION
April 25, 1990 - June 28, 1990
MSI FINANCIAL SERVICES, INC.
October 13, 1988 - April 25, 1990
UR FINANCIAL, INC.
July 27, 1988 - October 24, 1988
FINANCIAL AMERICA SECURITIES, INC.
April 28, 1987 - June 8, 1988
UBS FINANCIAL SERVICES INC.
June 18, 1985 - April 24, 1987
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
Current Firm
FINANCIAL AMERICA SECURITIES, INC.
CRD#: 5100 / SEC#: , 8-15719
Contact information
Documents
Disclosures
| Regulatory Event | 14 |
| Civil Event | 1 |
| Arbitration | 1 |
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.
