Austin A. Mathews
Professional summary
Austin Alexander Mathews, who also goes by Austin Alexander Mathews, Austin Mathews, Enrique Laureano Zacarias, is a registered financial professional currently at NATIONAL FINANCIAL SERVICES LLC located in Westlake, Texas.
Austin is registered as a RR (Registered Representative) and started their career in finance in 2014. Austin has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Austin Alexander Mathews's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 7, 2025 - Present
NATIONAL FINANCIAL SERVICES LLC
Office #1: Two Destiny Way, Westlake, TX 76262November 24, 2022 - February 20, 2025
J.P. MORGAN SECURITIES LLC
December 27, 2016 - December 2, 2020
NYLIFE SECURITIES LLC
November 25, 2014 - October 12, 2016
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
January 6, 2014 - October 30, 2014
NYLIFE SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/7/2025)
Exams
Cboe C2 Exchange, Inc.
Cboe Exchange, Inc.
FINRA
NYSE American LLC
NYSE Arca, Inc.
Nasdaq BX, Inc.
Nasdaq ISE, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
NATIONAL FINANCIAL SERVICES LLC
CRD#: 13041 / SEC#: 801-50706, 8-26740
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | SOLE MEMBER | |
| ADAMS, ROBERT JOHN | CHIEF OPERATIONS OFFICER/ELECTED MANAGER | 1291582 |
| CRUPI, KAREN MICHELE | CHIEF LEGAL OFFICER | 2982229 |
| DEPOALO, RONALD EDWARD | PRESIDENT | 5995085 |
| DYER, JANET MARIE | CHIEF COMPLIANCE OFFICER | 3186352 |
| RHODES, NOAH BUTLER | CHIEF FINANCIAL OFFICER | 6546392 |
| TESAURO, THOMAS JOHN | ELECTED MANAGER | 1862532 |
Disclosures
| Regulatory Event | 47 |
| Civil Event | 1 |
| Arbitration | 14 |
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.
