Steven 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.
Steven Jay Austin, who also goes by Steve Austin, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1986. Steven had worked at 10 firms and has passed the Series 63, SIE, Series 7 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
May 30, 2013 - July 2, 2020
LAKE STREET CAPITAL MARKETS, LLC
October 10, 2011 - April 26, 2013
D.A. DAVIDSON & CO.
January 3, 2007 - October 4, 2011
NORTHLAND SECURITIES, INC.
October 2, 2002 - December 31, 2006
MILLER JOHNSON STEICHEN KINNARD, INC.
December 4, 2001 - September 30, 2002
HD BROUS & CO., INC.
January 1, 2001 - November 21, 2001
MILLER JOHNSON STEICHEN KINNARD, INC.
October 5, 2000 - January 1, 2001
JOHN G. KINNARD AND COMPANY, INCORPORATED
February 1, 1993 - January 1, 2001
MJK CLEARING, INC.
February 20, 1990 - February 1, 1993
CRAIG-HALLUM, INC.
August 17, 1988 - February 27, 1990
KIDDER, PEABODY & CO. INCORPORATED
November 20, 1986 - August 18, 1988
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
LAKE STREET CAPITAL MARKETS, LLC
CRD#: 164447 / SEC#: , 8-69101
Contact information
FINRA licenses (30 States and Territories)
Direct owners and executive officers
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.
