Bradley N. 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.
Bradley Niel Austin, who also goes by Brad Austin, was a registered financial professional .
Bradley is a previously registered financial professional and started their career in finance in 1989. Bradley had worked at 8 firms and has passed the Series 63, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 5, 2011 - July 9, 2013
NOBLE CAPITAL MARKETS, INC.
February 8, 2010 - August 5, 2010
ATLANTIC EQUITIES, LLC
August 1, 2007 - January 19, 2010
JONESTRADING
July 18, 2000 - June 26, 2007
PRUDENTIAL EQUITY GROUP, LLC
November 1, 1999 - July 19, 2000
TUCKER ANTHONY INCORPORATED
July 12, 1999 - November 1, 1999
CLEARY GULL INC.
November 17, 1989 - June 23, 1999
NATIONAL FINANCIAL SERVICES LLC
July 21, 1989 - November 16, 1989
NEWHARD, COOK & CO. 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
Series 55
Date: 3/28/2000
Limited Representative-Equity Trader ExamCurrent Firm
NOBLE CAPITAL MARKETS, INC.
CRD#: 15768 / SEC#: , 8-32706
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 9 |
| Arbitration | 11 |
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.
