Susan 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.
Susan Davenport Austin, who also goes by Susan R Davenport, Susan Ross Davenport, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1989. Susan had worked at 5 firms and has passed the Series 63, SIE 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
March 10, 2015 - August 29, 2019
BROCK SECURITIES LLC
August 24, 2000 - October 31, 2001
GOLDMAN SACHS & CO. LLC
October 8, 1997 - August 23, 2000
J.P. MORGAN SECURITIES LLC
August 23, 1993 - September 16, 1997
SALOMON BROTHERS INC.
August 13, 1992 - May 5, 1993
CITICORP SECURITIES, INC.
November 22, 1989 - August 8, 1991
CITICORP SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
BROCK SECURITIES LLC
CRD#: 122156 / SEC#: , 8-65467
Contact information
FINRA licenses (4 States and Territories)
Documents
Disclosures
| Regulatory Event | 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.
