Emill James D. Austria
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.
Emill James Dedoyco Austria, who also goes by Emill James D Austria, was a registered financial professional .
Emill James is a previously registered financial professional and started their career in finance in 2009. Emill James had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 24, 2013 - June 22, 2015
PGIM INVESTMENTS LLC
June 21, 2012 - June 22, 2015
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
July 12, 2010 - June 13, 2012
LPL FINANCIAL LLC
April 10, 2009 - May 5, 2010
CHASE INVESTMENT SERVICES CORP.
Primary Firm SEC Registration
PGIM INVESTMENTS LLC
CRD#: 105670 / SEC#: 801-31104
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
PGIM INVESTMENTS LLC
CRD#: 105670 / SEC#: 801-31104
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 196 |
| AUM (Assets Under Management) | $ 322,085,635,448 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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