Richard W. Austin
Professional summary
Richard Wesley Austin, who also goes by Richard Austin, is a registered financial professional currently at SOUTHEAST INVESTMENTS, N.C., INC. located in Monroe, North Carolina.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1997. Richard has worked at 2 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Richard Wesley Austin's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 20, 2003 - Present
SOUTHEAST INVESTMENTS, N.C., INC.
Office #1: 106 Avon Street, Monroe, NC 28110May 16, 1997 - August 1, 2003
WOODBURY FINANCIAL 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
(8/20/2003)
Exams
FINRA
Current Firm
SOUTHEAST INVESTMENTS, N.C., INC.
CRD#: 43035 / SEC#: , 8-50127
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 3 |
| Arbitration | 3 |
Red Flags
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