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MA

Michael J. Austin

CAPELLA SECURITIES LLC
SANTA BARBARA, CA 93101
Some features on this profile are disabled
CRD#: 2863825
MA

Professional summary

Michael J Austin, who also goes by Michael Joseph Austin, is a registered financial professional currently at CAPELLA SECURITIES LLC located in Santa Barbara, California.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1997. Michael has worked at 7 firms and has passed the Series 65, Series 63, Series 79TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Michael Joseph Austin

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) - BD

Click below to view Michael J Austin's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

January 10, 2019 - Present

CAPELLA SECURITIES LLC

Office #1: 1117 State Street, Santa Barbara, CA 93101
BD
CRD#: 174167
SANTA BARBARA, CA
Past

April 3, 2012 - August 17, 2018

FIRST TRUST ADVISORS LP

RIA
CRD#: 107027
GREENWICH, CT
Past

April 3, 2012 - August 17, 2018

FIRST TRUST PORTFOLIOS L.P.

BD
CRD#: 28519
WHEATON, IL
Past

October 31, 2011 - March 30, 2012

INCAPITAL DISTRIBUTORS LLC

BD
CRD#: 156622
BOCA RATON, FL
Past

June 9, 2010 - March 30, 2012

INSPEREX LLC

BD
CRD#: 101420
BOCA RATON, FL
Past

August 22, 2006 - June 4, 2010

VAN KAMPEN ADVISORS INC

RIA
CRD#: 104703
FT. LAUDERDALE, FL
Past

August 21, 2006 - June 4, 2010

INVESCO CAPITAL MARKETS, INC.

BD
CRD#: 6939
HOUSTON, TX
Past

January 16, 2002 - August 4, 2006

FIRST TRUST PORTFOLIOS L.P.

BD
CRD#: 28519
WHEATON, IL
Past

July 15, 1997 - August 23, 2001

INVESCO CAPITAL MARKETS, INC.

BD
CRD#: 6939
HOUSTON, TX

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Connecticut
(2/6/2019)
RR
Illinois
(1/10/2019)
RR
New York
(1/10/2019)

Exams

State Security Law Exam
IAR
Series 65
Date: 3/3/2003
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/18/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 8/17/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/14/1997
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CS
CAPELLA SECURITIES LLC
CAPELLA SECURITIES LLC | CLYDESDALE SECURITIES LLC

CRD#: 174167 / SEC#: , 8-69567

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

Main Address
1117 State Street, Santa Barbara, CA 93101
Mailing Address
1117 State Street, Santa Barbara, CA 93101
Phone number
(617) 817-7618
Established
New York since 10/31/2014
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (8 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CAPELLA PARTNERS, LLCOWNER
KADRI, ROMI SINCLAIRCEO6633593
SADZEWICZ, GERY JOSEPHCHIEF COMPLIANCE OFFICER1090963
SAMSON, EDWARD GREGORYFINOP2041321

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

CAPELLA SECURITIES LLC

CRD#: 174167Santa Barbara, CA 93101

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