Austin G. Mackey
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.
Austin Gibbons Mackey was a registered financial professional .
Austin is a previously registered financial professional and started their career in finance in 1986. Austin had worked at 12 firms and has passed the Series 63, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2007 - December 31, 2012
SWBC INVESTMENT SERVICES, LLC
July 27, 2004 - December 31, 2006
CETERA WEALTH SERVICES, LLC
July 24, 2002 - July 28, 2004
ATEL SECURITIES CORPORATION
May 4, 1999 - June 12, 2002
TRANSAMERICA CAPITAL, LLC
September 12, 1994 - April 19, 1999
TOUCHSTONE SECURITIES, INC.
June 23, 1992 - September 13, 1994
FUNDMARK INVESTMENT COMPANY SERVICES, INC.
May 6, 1991 - May 4, 1992
MONARCH SECURITIES, INC.
February 25, 1991 - June 4, 1991
MONARCH FINANCIAL SERVICES, INC.
December 22, 1989 - December 31, 1990
ABI SECURITIES, INC.
November 19, 1989 - February 28, 1990
OSAIC WEALTH, INC.
April 15, 1988 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
February 19, 1986 - September 7, 1990
COREBRIDGE CAPITAL 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
Exams
Current Firm
SWBC INVESTMENT SERVICES, LLC
CRD#: 133715 / SEC#: , 8-66764
Contact information
FINRA licenses (49 States and Territories)
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.
