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Scott M. Austin

VISTA POINT ADVISORS
New York, NY 10010
Some features on this profile are disabled
CRD#: 5938963
SA

Professional summary

Scott M Austin is a registered financial professional currently at VISTA POINT ADVISORS, LLC located in New York, New York.

Scott is registered as a RR (Registered Representative) and started their career in finance in 2013. Scott has worked at 1 firm and has passed the Series 63, SIE and Series 79 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) - BD

Click below to view Scott M Austin's 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

March 4, 2013 - Present

VISTA POINT ADVISORS, LLC

Office #1: 287 Park Ave South Suite 704, New York, NY 10010
BD
CRD#: 157502
New York, NY

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
California
(3/13/2013)
RR
New York
(10/7/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 3/12/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 3/1/2013
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

VP
VISTA POINT ADVISORS, LLC
VISTA POINT ADVISORS, LLC

CRD#: 157502 / SEC#: , 8-68852

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information

Main Address
555 Mission Street Suite 2650, San Francisco, CA 94105
Mailing Address
555 Mission Street Suite 2650, San Francisco, CA 94105
Phone number
(415) 722-3506
Established
Delaware since 01/13/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (12 States and Territories)

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

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
LYON, MICHAEL DAVIDMANAGING PARTNER, CCO4700935
BEAN, JEFFREY DANIELMEMBER5462862
YARA, CLINTON ISAMIMEMBER4789485
HENDERSON, STUART ROBERTCFO/FINOP1121476
KOONS, JEFFREY LOUISMEMBER5737185
SICILIANO II, FRANCIS DANIELMEMBER5932455

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

VISTA POINT ADVISORS, LLC

CRD#: 157502New York, NY 10010

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