Austin C. Parlette
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.
Austin Clyde Parlette was a registered financial professional .
Austin is a previously registered financial professional and started their career in finance in 1965. Austin had worked at 5 firms and has passed the Series 63, SIE, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 1, 2006 - July 3, 2017
MUTUAL SECURITIES, INC.
July 8, 1997 - November 14, 2006
UBS FINANCIAL SERVICES INC.
January 31, 1980 - November 14, 2006
UBS FINANCIAL SERVICES INC.
June 27, 1979 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
December 16, 1975 - June 24, 1979
A C SECURITIES, INC.
March 22, 1965 - December 28, 1975
BIRR, WILSON & CO., 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
PC
Date: 7/5/1977
AMEX Put and Call ExamSeries 1
Date: 3/18/1965
Registered Representative ExaminationCurrent Firm
MUTUAL SECURITIES, INC.
CRD#: 13092 / SEC#: 801-68443, 8-28580
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MUTUAL GROUP, INC. | CORPORATION | |
| CLAUSSEN, DAWN MARIE | CHIEF OPERATING OFFICER | 5445747 |
| DAMIANI, NICHOLAS ARTHUR | CHIEF ADMINISTRATIVE OFFICER | 5669491 |
| JASPER, AARON T | CHIEF EXECUTIVE OFFICER | 5016734 |
| SABOL, RYAN STEPHEN | MANAGING PRINCIPAL | 4419285 |
| SHANNON, DEBRA DAWN | CHIEF COMPLIANCE OFFICER | 5021297 |
| VOSS, MITCHELL CRAIG | CHAIRMAN | 1029100 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 8 |
Red Flags
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