Joel H. 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.
Joel Hight Austin was a registered financial professional .
Joel is a previously registered financial professional and started their career in finance in 1988. Joel had worked at 4 firms and has passed the Series 63, Series 7, Series 27 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
November 8, 1990 - April 16, 1991
WESTIN CAPITAL MARKETS, INC.
March 15, 1989 - January 16, 1990
CITIGROUP GLOBAL MARKETS INC.
December 5, 1988 - March 28, 1989
LASALLE ST SECURITIES, L.L.C.
September 20, 1988 - November 25, 1988
GNP SECURITIES, 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
WESTIN CAPITAL MARKETS, INC.
CRD#: 25010 / SEC#: , 8-42376
Contact information
Documents
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.
