Austin P. Main
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 Patrick Main, who also goes by Austin Main, 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 Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 7, 2018 - November 10, 2022
GOLDMAN SACHS CUSTODY SOLUTIONS
July 3, 2018 - October 1, 2018
PRUCO 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
Exams
Current Firm
GOLDMAN SACHS CUSTODY SOLUTIONS
CRD#: 48015 / SEC#: , 8-52009
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FOLIO FINANCIAL, INC. (D/B/A GOLDMAN SACHS CS HOLDINGS) | 100 % SHAREHOLDER | |
| CHOKSI, ANISH PAREN | CHIEF COMPLIANCE OFFICER | 6506840 |
| EISENSTEIN, JEREMY S | CHIEF EXECUTIVE OFFICER & PRESIDENT | 4972748 |
| FYFFE, JAMES COMPEAU | CHIEF FINANCIAL OFFICER, FINOP & PFO | 2619159 |
| GERAGHTY, PETER RICHARD | GENERAL COUNSEL | 4930752 |
| GREEFF, BRIAN MICHAEL | COO & POO | 4273392 |
| SIEGLER, ADAM JAMES | MANAGING DIRECTOR | 5112351 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
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.
