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AL

Austin S. Locke

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CRD#: 4817366
AL

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 Sherwood Locke was a registered financial professional .

Austin is a previously registered financial professional and started their career in finance in 2007. Austin had worked at 3 firms and has passed the Series 63, Series 79 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 27, 2011 - March 24, 2014

MILLER BUCKFIRE & CO., LLC

BD
CRD#: 104156
NEW YORK, NY
Past

September 13, 2007 - August 4, 2009

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

April 10, 2007 - September 6, 2007

B. RILEY SECURITIES, INC.

BD
CRD#: 25027
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 5/11/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79
Date: 9/27/2011
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 4/9/2007
General Securities Representative Examination

Current Firm

MB
MILLER BUCKFIRE & CO., LLC
DDC SECURITIES, INC. | RPI SECURITIES, INC. | MILLER BUCKFIRE YING & CO., LLC | MILLER BUCKFIRE LEWIS YING & CO., LLC | MILLER BUCKFIRE LEWIS & CO., LLC | MILLER BUCKFIRE & CO., LLC

CRD#: 104156 / SEC#: , 8-52631

BD
Terminated by SEC on 09/29/2023
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 04/29/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
MB ADVISORY GROUP LLCMEMBER
BUCKFIRE, KENNETH ALANPRESIDENT1713009
JOHNSTONE, MARY CARLTONCCO1170408
SMITH, RICHARD WILLIAMPRINCIPAL FINANCIAL OFFICER & PRINCIPAL OPERATIONS OFFICER1333488

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

MILLER BUCKFIRE & CO., LLC

CRD#: 104156

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