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Daniel Alexander Austin

CRD# 4396693·Registered 2001 - 2013
Previously Registered: Being a previously registered professional could mean that Daniel 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.

Professional Summary

Daniel Alexander Austin, who also goes by Daniel A Austin, Daniel Alexander Austin Jr., was a registered financial advisor. Daniel was a previously registered financial professional and started their career in finance 2001 - 2013. Daniel had worked at 6 firms and has passed the Series 65, Series 63 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Daniel A Austin, Daniel Alexander Austin Jr.

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

25 years in the financial services industry

Current & Past Employments

CCF INVESTMENTS, INC.·CRD# 136571
BD
Greensboro, GA
February 14, 2012 - January 8, 2013
TRANSAMERICA FINANCIAL ADVISORS, LLC·CRD# 16164
BD
Newport News, VA
June 3, 2009 - February 10, 2010
WILMINGTON BROKERAGE SERVICES COMPANY·CRD# 14942
BD
Wilmington, DE
June 15, 2005 - September 29, 2008
AMERIPRISE FINANCIAL SERVICES, LLC·CRD# 6363
RIA
Wilmington, DE
October 29, 2003 - January 28, 2004
IDS LIFE INSURANCE COMPANY·CRD# 6321
BD
Minneapolis, MN
October 29, 2003 - January 28, 2004
AMERIPRISE FINANCIAL SERVICES, LLC·CRD# 6363
BD
Minneapolis, MN
October 29, 2003 - January 28, 2004
WELLS FARGO CLEARING SERVICES, LLC·CRD# 19616
BD
St. Louis, MO
October 4, 2001 - June 4, 2003

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Current Firm

CI
CCF INVESTMENTS, INC.

C C F INVESTMENTS, INC. | CCF INVESTMENTS, INC. | CCF INVESTMENTS INC OF NEVADA

CRD#: 136571 / SEC#: 8-67027
BD
Terminated by SEC on 09/19/2017

Contact Information

Established

Georgia since 05/26/2004

Firm Type

Corporation

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
CAPITAL CHOICE FINANCIALOWNER—
KINNARD, RICHARD LENCEO2694520
REED, BRYAN MICHAELSVP COO CCO2886966
WALLACE, DEBORA PAULFINOP/CFO5009480

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Aug 2003About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Oct 2001About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Oct 2001About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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