Eric E. Austin
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.
Eric E Austin, who also goes by Eric Eugene Austin, Eric Austin, was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 2003. Eric had worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 6, 2013 - November 5, 2015
CAPITAL ONE ADVISORS, LLC
June 6, 2013 - November 5, 2015
CAPITAL ONE INVESTING, LLC
November 2, 2010 - April 15, 2013
PRINCIPAL SECURITIES, INC.
September 27, 2010 - April 15, 2013
PRINCIPAL SECURITIES, INC.
September 27, 2007 - August 10, 2010
LINCOLN FINANCIAL DISTRIBUTORS, INC.
September 26, 2007 - August 10, 2010
LINCOLN FINANCIAL DISTRIBUTORS, INC.
March 20, 2006 - September 7, 2007
BOFA ADVISORS, LLC
March 14, 2006 - September 7, 2007
BOFA DISTRIBUTORS, INC.
November 14, 2005 - February 22, 2006
PRINCIPAL SECURITIES, INC.
September 25, 2003 - February 22, 2006
PRINCIPAL SECURITIES, 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
Current Firm
CAPITAL ONE ADVISORS, LLC
CRD#: 136865 / SEC#: 801-64662
Contact information
Documents
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.
