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DA

David B. Aucoin

ATHENE SECURITIES
West Des Moines, IA 50266
Some features on this profile are disabled
CRD#: 4625191
DA

Professional summary


David Bryan Aucoin, who also goes by Bryan Aucoin, D. Bryan Aucoin, is a registered financial professional currently at ATHENE SECURITIES, LLC located in West Des Moines, Iowa.

David is registered as a RR (Registered Representative) and started their career in finance in 2003. David has worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 26 exams.

top-8-questions

Question & Answer


Are you a "fiduciary"?
No

Aliases


Bryan Aucoin | D. Bryan Aucoin

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 David Bryan Aucoin'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

October 2, 2024 - Present

ATHENE SECURITIES, LLC

Office #1: 7700 Mills Civic Parkway, West Des Moines, IA 50266
BD
CRD#: 36867
West Des Moines, IA
Past

October 11, 2018 - October 9, 2024

SYMETRA SECURITIES, INC.

BD
CRD#: 739
BELLEVUE, WA
Past

August 18, 2014 - July 31, 2018

EQUITABLE DISTRIBUTORS, LLC

BD
CRD#: 25900
CHARLOTTE, NC
Past

September 12, 2012 - August 15, 2014

COREBRIDGE CAPITAL SERVICES, INC.

BD
CRD#: 13158
JERSEY CITY, NJ
Past

August 31, 2010 - September 17, 2012

METLIFE INVESTORS DISTRIBUTION COMPANY

BD
CRD#: 107622
NEW YORK CITY, NY
Past

March 2, 2007 - July 16, 2010

AUGUSTAR DISTRIBUTORS, INC.

BD
CRD#: 41081
CINCINNATI, OH
Past

October 11, 2004 - February 27, 2007

GUARDIAN INVESTOR SERVICES LLC

BD
CRD#: 6635
NEW YORK, NY
Past

November 14, 2003 - February 18, 2004

MML DISTRIBUTORS, LLC

BD
CRD#: 38030
SPRINGFIELD, MA
Past

February 25, 2003 - November 4, 2003

VERAVEST INVESTMENTS, INC.

BD
CRD#: 3960
WORCESTER, MA

State Registrations and Notice Filings


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

RR
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

RR
Massachusetts
(10/2/2024)

Exams


State Security Law Exam
RR
Series 63
Date: 11/29/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA

Current Firm


AS
ATHENE SECURITIES, LLC
ATHENE SECURITIES IOWA, LLC | IL SECURITIES, LLC | IL SECURITIES, INC. | IL SECURITIES LLC | AVIVA SECURITIES, LLC | ATLAS SP SECURITIES | ATHENE SECURITIES, LLC

CRD#: 36867 / SEC#: , 8-47499

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information


Main Address
7700 Mills Civic Parkway, West Des Moines, IA 50266
Mailing Address
7700 Mills Civic Parkway, West Des Moines, IA 50266
Phone number
(515) 342-4616
Established
Indiana since 04/21/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (51 States and Territories)


Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents


Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers


NamePositionCRD#
ATHENE USA CORPORATIONATHENE SECURITIES, LLC
BATTERSON, CHAD MPRESIDENT, COO, FINOP4880009
BURTON, SHEILA SUECHIEF COMPLIANCE OFFICER
GEYELIN, ANTONY LAUSSAT IIIVICE PRESIDENT4605388
HUNT, ANGELA JEANCOMPLIANCE OFFICER7192588

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.

Company Information


ATHENE SECURITIES, LLC

CRD#: 36867West Des Moines, IA 50266

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