Austin Halpern
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 Halpern was a registered financial professional .
Austin is a previously registered financial professional and started their career in finance in 2018. Austin had worked at 6 firms and has passed the Series 66, 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
August 31, 2023 - August 2, 2024
I-BANKERS SECURITIES, INC.
July 25, 2023 - August 2, 2024
IBD WEALTH MANAGEMENT, LLC
September 13, 2021 - June 11, 2024
I-BANKERS DIRECT, LLC
February 3, 2021 - September 10, 2021
B. RILEY WEALTH ADVISORS, INC.
January 5, 2021 - September 10, 2021
NATIONAL SECURITIES CORPORATION
December 6, 2018 - April 1, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 24, 2018 - April 1, 2019
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
Current Firm
I-BANKERS SECURITIES, INC.
CRD#: 41352 / SEC#: , 8-49385
Contact information
FINRA licenses (49 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
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.
