Alan D. 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.
Alan Douglas Austin was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 2000. Alan had worked at 3 firms and has passed the Series 63, Series 79TO, Series 82TO, SIE, Series 7 and Series 28 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 25, 2017 - May 18, 2021
STILLPOINT CAPITAL, LLC
May 28, 2007 - July 31, 2015
SABLE CAPITAL LLC
December 20, 2000 - October 31, 2006
DEWAAY FINANCIAL NETWORK, LLC
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 ExaminationSeries 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsSeries 28
Date: 9/16/2002
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
STILLPOINT CAPITAL, LLC
CRD#: 133146 / SEC#: , 8-66688
Contact information
FINRA licenses (52 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.
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