Daryl N. Auguste

TRADESTATION SECURITIES

Plantation, FL 33324

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CRD#: 4439638

Professional summary

Daryl Nicholas Auguste, who also goes by Daryl N. Auguste, is a registered financial professional currently at TRADESTATION SECURITIES, INC. located in Plantation, Florida.

Daryl is registered as a RR (Registered Representative) and started their career in finance in 2004. Daryl has worked at 5 firms and has passed the Series 63, Series 57TO, Series 3, SIE, Series 55, Series 7, Series 34, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Daryl N. Auguste

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 Daryl Nicholas Auguste'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

May 21, 2019 - Present

TRADESTATION SECURITIES, INC.

Office #1: 8050 Sw 10th Street Suite 2000, Plantation, FL 33324

CRD#: 39473

Plantation, FL

Past

July 20, 2016 - January 24, 2019

NYLIFE SECURITIES LLC

CRD#: 5167

REGO PARK, NY

Past

March 20, 2013 - June 6, 2016

NOBLE CAPITAL MARKETS, INC.

CRD#: 15768

BOCA RATON, FL

Past

September 21, 2006 - November 5, 2007

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

MIAMI, FL

Past

February 24, 2004 - August 9, 2006

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

State Registrations and Notice Filings

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

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

Alabama
(5/23/2019)

Alaska
(5/23/2019)

Arizona
(5/28/2019)

Arkansas
(5/22/2019)

California
(5/22/2019)

Colorado
(5/22/2019)

Connecticut
(5/22/2019)

Delaware
(6/5/2019)

District of Columbia
(5/24/2019)

Florida
(5/22/2019)

Georgia
(6/3/2019)

Hawaii
(5/22/2019)

Idaho
(5/21/2019)

Illinois
(6/18/2019)

Indiana
(5/22/2019)

Iowa
(5/23/2019)

Kansas
(5/29/2019)

Kentucky
(5/22/2019)

Louisiana
(5/23/2019)

Maine
(5/22/2019)

Maryland
(5/31/2019)

Massachusetts
(5/22/2019)

Michigan
(5/23/2019)

Minnesota
(5/28/2019)

Mississippi
(5/22/2019)

Missouri
(5/24/2019)

Montana
(5/22/2019)

Nebraska
(5/23/2019)

Nevada
(5/29/2019)

New Hampshire
(5/28/2019)

New Jersey
(5/23/2019)

New Mexico
(5/24/2019)

New York
(5/29/2019)

North Carolina
(5/21/2019)

North Dakota
(5/28/2019)

Ohio
(5/22/2019)

Oklahoma
(5/22/2019)

Oregon
(5/22/2019)

Pennsylvania
(5/23/2019)

Puerto Rico
(3/11/2022)

Rhode Island
(5/22/2019)

South Carolina
(5/30/2019)

South Dakota
(5/28/2019)

Tennessee
(5/22/2019)

Texas
(5/21/2019)

Utah
(5/22/2019)

Vermont
(5/22/2019)

Virginia
(5/22/2019)

Washington
(5/23/2019)

West Virginia
(6/3/2019)

Wisconsin
(5/23/2019)

Wyoming
(6/4/2019)

Exams

State Security Law Exam

Series 63

Date: 4/1/2013

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

Series 3

Date: 6/25/2019

National Commodity Futures Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 5/3/2013

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 3/19/2013

General Securities Representative Examination

General Industry/Product Exam

Series 34

Date: 2/25/2012

Retail Off-Exchange FOREX Examination

Principal/Supervisory Exam

Series 4

Date: 3/17/2022

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 10/5/2021

General Securities Principal Examination

SRO Registrations

Cboe BYX Exchange, Inc.

SRO Registrations

Cboe BZX Exchange, Inc.

SRO Registrations

Cboe EDGA Exchange, Inc.

SRO Registrations

Cboe EDGX Exchange, Inc.

SRO Registrations

FINRA

SRO Registrations

Investors' Exchange LLC

SRO Registrations

NYSE American LLC

SRO Registrations

NYSE Arca, Inc.

SRO Registrations

Nasdaq BX, Inc.

SRO Registrations

Nasdaq Stock Market

SRO Registrations

New York Stock Exchange

Current Firm

TRADESTATION SECURITIES, INC.

CRD#: 39473 / SEC#: , 8-48711

Broker-Dealer Firm Regulated by FINRA (Florida district office)

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Contact information

Main Address

8050 Sw 10th Street Suite 2000, Plantation, FL 33324

Mailing Address

8050 Sw 10th Street Suite 2000, Plantation, FL 33324

Phone number

(954) 652-7900

Established

Florida since 09/07/1995

Firm type

Corporation

Fiscal year end

March

Firm Size

Small

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
TRADESTATION GROUP, INC.	OWNER - PARENT CORPORATION
BOLEK, JOHN MITCHELL	PRINCIPAL OPERATIONS OFFICER	2363046
KOROTKIY, PETER	PRESIDENT & CHIEF OPERATING OFFICER	2706102
MORMILE-WOLPER, MYRA CHRISTINE	GENERAL COUNSEL AND ASSISTANT SECRETARY	6753154
ROJEK, JAMES H	CHIEF FINANCIAL OFFICER & PRINCIPAL FINANCIAL OFFICER	3096214
WALTON, HERBERT	CHIEF COMPLIANCE OFFICER	4030847

Disclosures

Regulatory Event	28
Arbitration	4

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.

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Advisor Monitoring

Firm Stability Insights

Daryl N. Auguste

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Daryl Nicholas Auguste's CRS (Customer Relationship Summary).

Certified licenses

Experience

NYLIFE SECURITIES LLC

NOBLE CAPITAL MARKETS, INC.

TRANSAMERICA FINANCIAL ADVISORS, LLC

CREDIT SUISSE SECURITIES (USA) LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/1/2013

Series 57TO

Date: 1/2/2023

Series 3

Date: 6/25/2019

SIE

Date: 10/1/2018

Series 55

Date: 5/3/2013

Series 7

Date: 3/19/2013

Series 34

Date: 2/25/2012

Series 4

Date: 3/17/2022

Series 24

Date: 10/5/2021

Cboe BYX Exchange, Inc.

Cboe BZX Exchange, Inc.

Cboe EDGA Exchange, Inc.

Cboe EDGX Exchange, Inc.

FINRA

Investors' Exchange LLC

NYSE American LLC

NYSE Arca, Inc.

Nasdaq BX, Inc.

Nasdaq Stock Market

New York Stock Exchange

Current Firm

TRADESTATION SECURITIES, INC.

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

TRADESTATION SECURITIES, INC.

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