Austin B. Daws
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 Barrett Daws, who also goes by Barrett Daws, was a registered financial professional .
Austin is a previously registered financial professional and started their career in finance in 2012. Austin had worked at 3 firms and has passed the Series 63, SIE, Series 79, Series 7 and Series 28 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 16, 2019 - December 22, 2020
ARKADIOS CAPITAL
September 23, 2016 - September 11, 2019
REGIONS SECURITIES LLC
August 14, 2012 - September 14, 2016
TRUIST 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
Series 28
Date: 8/31/2020
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
ARKADIOS CAPITAL
CRD#: 282710 / SEC#: , 8-69729
Contact information
FINRA licenses (53 States and Territories)
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.
