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AS

Austin F. Stockard

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CRD#: 6904754
AS

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 Field Stockard was a registered financial professional .

Austin is a previously registered financial professional and started their career in finance in 2018. Austin had worked at 2 firms and has passed the SIE and Series 6 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 31, 2021 - May 20, 2022

IVY DISTRIBUTORS, INC.

BD
CRD#: 16496
OVERLAND PARK, KS
Past

August 24, 2018 - April 16, 2021

WADDELL & REED

BD
CRD#: 866
OVERLAND PARK, KS

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 8/24/2018
Investment Company Products/Variable Contracts Representative Examination

Current Firm

ID
IVY DISTRIBUTORS, INC.
IVY DISTRIBUTORS, INC. | MACKENZIE INVESTMENT MANAGEMENT INC. | IVY MACKENZIE DISTRIBUTORS, INC. | IVY FUNDS DISTRIBUTOR, INC.

CRD#: 16496 / SEC#: , 8-34046

BD
Terminated by SEC on 09/05/2022
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Contact information

Main Address
Mailing Address
Phone number
Established
Florida since 06/02/1993
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
IVY INVESTMENT MANAGEMENT COMPANYSTOCKHOLDER
HOBAN, STEPHEN (NO MIDDLE NAME)FINOP AND PRINCIPAL FINANCIAL OFFICER5089370
MURRAY, BRIAN LAWRENCE JRSVP/CHIEF COMPLIANCE OFFICER3130285
WRIGHT, BRETT DAVIDPRESIDENT/EXECUTIVE DIRECTOR2344832

Disclosures

Regulatory Event1

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

IVY DISTRIBUTORS, INC.

CRD#: 16496

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