Charlene 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.
Charlene Diane Austin, who also goes by Charlene Diane Austin, Charlene D Lewis, Charlene Diane Lewis, was a registered financial professional .
Charlene is a previously registered financial professional and started their career in finance in 1995. Charlene had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 10, 2015 - April 25, 2016
INVESTMENT ADVISORS CORP
December 10, 2015 - April 25, 2016
BROKER DEALER FINANCIAL SERVICES CORP.
October 7, 2015 - December 1, 2015
VOYA FINANCIAL ADVISORS, INC.
November 5, 2014 - July 10, 2015
VSR FINANCIAL SERVICES, INC.
November 5, 2014 - July 10, 2015
VSR FINANCIAL SERVICES, INC.
February 21, 2014 - November 5, 2014
WADDELL & REED
February 21, 2014 - November 5, 2014
WADDELL & REED
March 5, 2012 - August 27, 2012
CUNA BROKERAGE SERVICES, INC.
March 5, 2012 - August 27, 2012
CUNA BROKERAGE SERVICES, INC.
May 26, 2006 - February 24, 2012
WELLS FARGO CLEARING SERVICES, LLC
May 26, 2006 - February 24, 2012
WELLS FARGO CLEARING SERVICES, LLC
October 21, 2005 - June 8, 2006
A. G. EDWARDS & SONS, INC.
February 11, 2000 - June 8, 2006
A. G. EDWARDS & SONS, INC.
August 10, 1996 - July 27, 1999
METLIFE INVESTORS SALES COMPANY
July 8, 1995 - May 3, 1996
EQUITRUST INVESTMENT MANAGEMENT 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
INVESTMENT ADVISORS CORP
CRD#: 117531 / SEC#: 801-69573
Contact information
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.
