Austin Harless
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 Harless, who also goes by Austin Job Harless, was a registered financial professional .
Austin is a previously registered financial professional and started their career in finance in 2020. Austin had worked at 2 firms and has passed the Series 66, Series 7TO, SIE, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 9, 2021 - June 30, 2023
ROBINHOOD FINANCIAL, LLC
November 5, 2020 - October 29, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 28, 2020 - October 29, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH 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 7TO
Date: 2/28/2020
General Securities Representative ExaminationCurrent Firm
ROBINHOOD FINANCIAL, LLC
CRD#: 165998 / SEC#: , 8-69188
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROBINHOOD MARKETS, INC | 100% OWNER | |
| BILLINGS, MATTHEW JOHN | PRESIDENT, CHIEF EXECUTIVE OFFICER | 1915377 |
| CAVALLARO, ANTHONY JOSEPH | CHIEF COMPLIANCE OFFICER | 1607925 |
| GALVIN, SCOT SEAN | PRINCIPAL OPERATIONS OFFICER | 3226179 |
| KELATI, DANIEL T | CHIEF FINANCIAL OFFICER AND PRINCIPAL FINOP | 3103432 |
| KOLLER, WALTER | CHIEF OPERATING OFFICER | 1932260 |
| QUIRK, STEVEN MARK | MANAGER | 2728768 |
| SUBRAMANIAN, SIVARAMAKRISHNAN | MANAGER | 7339479 |
Disclosures
| Regulatory Event | 55 |
| Arbitration | 6 |
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.
