Neal P. Austria
Professional summary
Neal P Austria, who also goes by Neal Patrick Austria, is a registered financial professional currently at FRANKLIN DISTRIBUTORS, LLC located in New York, New York.
Neal is registered as a RR (Registered Representative) and started their career in finance in 2004. Neal has worked at 2 firms and has passed the SIE, Series 86, Series 87 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Neal P Austria's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 12, 2009 - Present
FRANKLIN DISTRIBUTORS, LLC
Office #1: One Madison Avenue, New York, NY 10010November 23, 2004 - July 17, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
FINRA
Current Firm
FRANKLIN DISTRIBUTORS, LLC
CRD#: 109064 / SEC#: , 8-53089
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
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.
