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BA

Brendan Austin

NATIXIS SECURITIES AMERICAS
NEW YORK, NY 10020
CRD#: 6198891
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BA
Brendan AustinNATIXIS SECURITIES AMERICAS

Professional summary

Brendan Austin, who also goes by Brendan Michael Austin, is a registered financial professional currently at NATIXIS SECURITIES AMERICAS LLC located in New York, New York and ING FINANCIAL MARKETS LLC located in New York, New York.

Brendan is registered as a RR (Registered Representative) and started their career in finance in 2014. Brendan has worked at 5 firms and has passed the Series 63, SIE and Series 79 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Brendan Michael Austin

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 Brendan 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

April 27, 2022 - Present

NATIXIS SECURITIES AMERICAS LLC

Office #1: 1251 Avenue Of The Americas, New York, NY 10020
BD
CRD#: 1101
NEW YORK, NY
Current

June 8, 2026 - Present

ING FINANCIAL MARKETS LLC

Office #1: 1133 Avenue Of The Americas, New York, NY 10036
BD
CRD#: 28872
NEW YORK, NY
Past

July 12, 2021 - March 30, 2022

TD SECURITIES (USA) LLC

BD
CRD#: 18476
NEW YORK, NY
Past

April 1, 2017 - July 13, 2021

MUFG SECURITIES AMERICAS INC.

BD
CRD#: 19685
NEW YORK, NY
Past

January 30, 2014 - April 1, 2017

MUFG AMERICAS CORPORATE ADVISORY, INC.

BD
CRD#: 10151
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
New York
(4/27/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 5/1/2014
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: 1/30/2014
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

IF
ING FINANCIAL MARKETS LLC
ING (U.S.) SECURITIES, FUTURES & OPTIONS INC. | QUANTUM SECURITIES, INC. | ING SECURITIES DERIVATIVES CLEARING | ING SECURITIES & OPTIONS | ING FINANCIAL MARKETS LLC | ING BARINGS CORP.

CRD#: 28872 / SEC#: , 8-43978

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
1133 Avenue Of The Americas, New York, NY 10036
Mailing Address
1133 Avenue Of The Americas, New York, NY 10036
Phone number
(646) 424-6000
Established
Delaware since 11/06/1995
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

NamePositionCRD#
ING FINANCIAL HOLDINGS CORPORATIONSOLE SHAREHOLDER
BENETREU, LINDA MARIANNEDIRECTOR6448656
CHAUDHURI, SUPRIO NMNCHIEF COMPLIANCE OFFICER4659711
CICCHILLO, DARREN THOMASCHIEF OPERATING OFFICER2261428
MEEHAN, TIMOTHY MICHAELGENERAL COUNSEL4238220
MEYER, KATHARYN ARABELA BOYLECHIEF EXECUTIVE OFFICER3063186
SCHAEFFER, ANDREW DAVIDDIRECTOR1817568
TORNIJ, MARKDIRECTOR7337753
WOLVIUS, JOHANNES DERKCHIEF FINANCIAL OFFICER7053218

Disclosures

Regulatory Event10

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

ING FINANCIAL MARKETS LLC

CRD#: 28872New York, NY 10020

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