Austin S. Troy
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 Stephen Troy was a registered financial professional .
Austin is a previously registered financial professional and started their career in finance in 1971. Austin had worked at 16 firms and has passed the Series 63, PC, Series 5 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 3, 2010 - August 14, 2012
DREXEL HAMILTON, LLC
May 28, 2009 - November 5, 2010
NORTHEAST SECURITIES, LLC
March 2, 2006 - June 26, 2006
STERNE, AGEE & LEACH, INC.
January 28, 2004 - January 18, 2006
GUGGENHEIM SECURITIES, LLC
April 22, 2003 - January 26, 2004
BGC FINANCIAL, L.P.
April 17, 2002 - April 10, 2003
CBA SECURITIES LLC
November 3, 1998 - February 23, 2001
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
March 26, 1996 - October 3, 1997
J.P. MORGAN SECURITIES INC.
May 3, 1994 - March 26, 1996
CHASE SECURITIES, INC.
August 21, 1989 - April 8, 1994
LEHMAN SPECIAL SECURITIES INC.
August 21, 1989 - April 8, 1994
LEHMAN GOVERNMENT SECURITIES INC.
March 10, 1981 - June 27, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
March 2, 1981 - April 8, 1994
LEHMAN BROTHERS INC.
May 30, 1979 - March 4, 1981
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 22, 1978 - June 11, 1979
LEHMAN BROTHERS KUHN LOEB INCORPORATED
September 19, 1972 - February 22, 1978
LEHMAN BROTHERS INCORPORATED
May 13, 1971 - October 14, 1972
HAYDEN STONE 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: 4/8/1983
AMEX Put and Call ExamSeries 5
Date: 10/31/1981
Interest Rate Options ExaminationSeries 1
Date: 8/16/1968
Registered Representative ExaminationCurrent Firm
DREXEL HAMILTON, LLC
CRD#: 143570 / SEC#: , 8-67576
Contact information
FINRA licenses (41 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FELICE, ANTHONY PHILIP | CHIEF EXECUTIVE OFFICER | 4441607 |
| DOLL, LAWRENCE KIRK | OWNER | 5236486 |
| ELSAS, ROGER DEWITT | OWNER | 200659 |
| FAY, MELISSA JO HILER | OWNER | 5360445 |
| MARTINKO, JOHN CHRISTOPHER | OWNER | 5286067 |
| KIM, HYUNG S | OWNER | 5653676 |
| BRENNAN, PAUL FRANCIS | CHIEF OPERATING OFFICER | 2170928 |
| EDWARDS, JOHN WILLIAM JR. | CHIEF FINANCIAL OFFICER/FINOP | 1757360 |
| MAGEE, MARY BRENNAN | TRUSTEE, THE PAUL F. BRENNAN TRUST (DATED MAY 12, 2015) UNDER THE JOHN V. BRENNAN TRUST OF MAY 12, 2015 | |
| SANOK, EDWARD WILLIAM | CHIEF COMPLIANCE OFFICER | 6301272 |
| THE PAUL F. BRENNAN TRUST (DATED MAY 12, 2015) UNDER THE JOHN V. BRENNAN TRUST OF MAY 12, 2015 | OWNER |
Disclosures
| Regulatory Event | 3 |
Red Flags
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