Michael J. 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.
Michael J Austin, who also goes by Michael Joseph Austin, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1997. Michael had worked at 7 firms and has passed the Series 65, Series 63, Series 79TO, 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
January 10, 2019 - April 17, 2026
CAPELLA SECURITIES LLC
April 3, 2012 - August 17, 2018
FIRST TRUST ADVISORS LP
April 3, 2012 - August 17, 2018
FIRST TRUST PORTFOLIOS L.P.
October 31, 2011 - March 30, 2012
INCAPITAL DISTRIBUTORS LLC
June 9, 2010 - March 30, 2012
INSPEREX LLC
August 22, 2006 - June 4, 2010
VAN KAMPEN ADVISORS INC
August 21, 2006 - June 4, 2010
INVESCO CAPITAL MARKETS, INC.
January 16, 2002 - August 4, 2006
FIRST TRUST PORTFOLIOS L.P.
July 15, 1997 - August 23, 2001
INVESCO CAPITAL MARKETS, 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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
CAPELLA SECURITIES LLC
CRD#: 174167 / SEC#: , 8-69567
Contact information
FINRA licenses (7 States and Territories)
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.
