Austin C. Cogswell
Professional summary
Austin Charles Cogswell was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Austin is a previously registered financial professional and started their career in finance in 1969. Prior to being barred, Austin had worked at 12 firms, which includes DUNWOODY BROKERAGE SERVICES INC., WMA SECURITIES INC., AMERICAN WEALTH MANAGEMENT INC., RAYMOND JAMES FINANCIAL SERVICES INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, JOHNSON LANE SPACE SMITH & CO. INC., THE ROBINSON-HUMPHREY COMPANY LLC, WHITE WELD & CO. INCORPORATED, KIDDER PEABODY & CO. INCORPORATED, G. H. WALKER LAIRD INCORPORATED, BLYTH EASTMAN DILLON & CO. INCORPORATED, EASTMAN DILLON UNION SECURITIES & CO. INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 30, 1997 - February 14, 2003
DUNWOODY BROKERAGE SERVICES, INC.
December 4, 1996 - November 3, 1997
WMA SECURITIES, INC.
January 23, 1995 - November 18, 1996
DUNWOODY BROKERAGE SERVICES, INC.
April 23, 1991 - November 25, 1996
AMERICAN WEALTH MANAGEMENT, INC.
October 28, 1988 - July 10, 1989
RAYMOND JAMES FINANCIAL SERVICES, INC.
December 31, 1980 - July 10, 1989
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 26, 1978 - October 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 15, 1976 - January 26, 1981
JOHNSON, LANE, SPACE, SMITH & CO., INC.
September 29, 1975 - August 9, 1976
THE ROBINSON-HUMPHREY COMPANY, LLC
January 17, 1975 - September 26, 1978
WHITE, WELD & CO. INCORPORATED
October 23, 1974 - October 27, 1975
KIDDER, PEABODY & CO., INCORPORATED
February 15, 1974 - January 15, 1975
G. H. WALKER, LAIRD INCORPORATED
November 14, 1972 - April 29, 1974
BLYTH EASTMAN DILLON & CO. INCORPORATED
April 1, 1969 - November 14, 1972
EASTMAN DILLON, UNION SECURITIES & CO., 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
Series 1
Date: 3/28/1969
Registered Representative ExaminationCurrent Firm
DUNWOODY BROKERAGE SERVICES, INC.
CRD#: 31183 / SEC#: , 8-45423
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
| Arbitration | 2 |
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