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Austin R. Dutton

Some features on this profile are disabled
CRD#: 2739167
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Professional summary

Austin Richard Dutton JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Austin is a previously registered financial professional and started their career in finance in 1996. Prior to being barred, Austin had worked at 12 firms, which includes AMERICAN TRUST INVESTMENT SERVICES INC., PRIMEX, COLONY PARK FINANCIAL SERVICES LLC., SANDLAPPER SECURITIES LLC, CENTER STREET ADVISORS INC., CENTER STREET SECURITIES INC., NFSG CORPORATION, NEWBRIDGE SECURITIES CORPORATION, BOENNING & SCATTERGOOD INC., FERRIS BAKER WATTS LLC, A. G. EDWARDS & SONS INC., PRUDENTIAL EQUITY GROUP LLC.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Austin Richard Duttinjr | Austin R Dutton Jr | Austin R Dutton | Austin Richard Duttonjr

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

June 15, 2021 - January 7, 2022

AMERICAN TRUST INVESTMENT SERVICES, INC.

BD
CRD#: 3001
Doylestown, PA
Past

May 27, 2020 - June 9, 2021

AMERICAN TRUST INVESTMENT SERVICES, INC.

BD
CRD#: 3001
WHITING, IN
Past

May 22, 2019 - June 4, 2020

PRIMEX

BD
CRD#: 29394
NEW YORK, NY
Past

September 26, 2017 - May 28, 2019

COLONY PARK FINANCIAL SERVICES LLC.

RIA
CRD#: 41534
Doylestown, PA
Past

September 25, 2017 - May 10, 2019

SANDLAPPER SECURITIES, LLC

BD
CRD#: 137906
Doylestown, PA
Past

July 24, 2017 - September 7, 2017

CENTER STREET ADVISORS, INC.

RIA
CRD#: 169329
DOYLESTOWN, PA
Past

July 21, 2017 - September 7, 2017

CENTER STREET SECURITIES, INC.

BD
CRD#: 26898
DOYLESTOWN, PA
Past

August 15, 2007 - August 10, 2017

NFSG CORPORATION

RIA
CRD#: 130814
DOYLESTOWN, PA
Past

August 8, 2007 - August 10, 2017

NEWBRIDGE SECURITIES CORPORATION

BD
CRD#: 104065
DOYLESTOWN, PA
Past

January 7, 2002 - August 6, 2007

BOENNING & SCATTERGOOD, INC.

BD
CRD#: 100
LANGHORNE, PA
Past

June 30, 2000 - January 28, 2002

FERRIS, BAKER WATTS, LLC

BD
CRD#: 285
BALTIMORE, MD
Past

December 5, 1997 - July 7, 2000

A. G. EDWARDS & SONS, INC.

BD
CRD#: 4
ST. LOUIS, MO
Past

June 20, 1996 - November 6, 1997

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 7/26/1996
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/2/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/19/1996
General Securities Representative Examination

Current Firm

AT
AMERICAN TRUST INVESTMENT SERVICES, INC.
AMERICAN TRUST INVESTMENT SERVICES ADVISORY | PEERSON & COMPANY, INC. | PEERSON & COMPANY INVESTMENT SERVICES | AMERICAN TRUST INVESTMENT SERVICES, INC.

CRD#: 3001 / SEC#: , 8-14394

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
910 S El Camino Real Suite 200, Whiting, IN 46394
Mailing Address
9040 Town Center Parkway, Lakewood Ranch, FL 34202
Phone number
(949) 524-2742
Established
Indiana since 12/23/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
CCIG ACQUISITION COMPANY, LLCOWNER
DEVER, JAMES FRANCISCEO1840373
KESSLER, KRISTOPHER CHARLESPRESIDENT4543640
LIPPY, IAN EDWARDCHIEF OPERATING OFFICER6037326
ONESTO, RICHARD ERNESTFINANCIAL OPERATIONS PRINCIPAL2453096
SLAVINSKY, CHARLES JOSEPHCCO/MSRB/ROP2807658

Disclosures

Regulatory Event5
Arbitration1

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.

Company Information

AMERICAN TRUST INVESTMENT SERVICES, INC.

CRD#: 3001

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