AC
Austin M. Cave
NATIXIS DISTRIBUTION
Boston, MA 02199-8197
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CRD#: 7035850
AC
Professional summary
Austin Michael Cave, who also goes by Austin Cave, is a registered financial professional currently at NATIXIS DISTRIBUTION, LLC located in Boston, Massachusetts.
Austin is registered as a RR (Registered Representative) and started their career in finance in 2019. Austin has worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Austin Cave
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.
CRS (Client Relationship Summary) - BD
Click below to view Austin Michael Cave's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 24, 2024 - Present
NATIXIS DISTRIBUTION, LLC
Office #1: 888 Boylston Street Suite 800, Boston, MA 02199-8197BD
CRD#: 34754
Boston, MA
Past
March 15, 2023 - August 9, 2023
ICM CAPITAL MARKETS, LLC
BD
CRD#: 312157
NEW YORK, NY
Past
September 17, 2019 - May 12, 2021
EATON VANCE MANAGEMENT
RIA
CRD#: 104859
BOSTON, MA
Past
June 28, 2019 - May 12, 2021
EATON VANCE DISTRIBUTORS, INC.
BD
CRD#: 37731
BOSTON, MA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(1/24/2024)
RR
Alaska(1/24/2024)
RR
Arizona(1/24/2024)
RR
Arkansas(1/24/2024)
RR
California(1/24/2024)
RR
Colorado(1/24/2024)
RR
Connecticut(1/24/2024)
RR
Delaware(1/24/2024)
RR
District of Columbia(1/24/2024)
RR
Florida(1/24/2024)
RR
Georgia(1/24/2024)
RR
Hawaii(1/24/2024)
RR
Idaho(1/24/2024)
RR
Illinois(1/24/2024)
RR
Indiana(1/24/2024)
RR
Iowa(1/24/2024)
RR
Kansas(1/24/2024)
RR
Kentucky(1/24/2024)
RR
Louisiana(1/24/2024)
RR
Maine(1/24/2024)
RR
Maryland(1/24/2024)
RR
Massachusetts(1/24/2024)
RR
Michigan(1/24/2024)
RR
Minnesota(1/24/2024)
RR
Mississippi(1/24/2024)
RR
Missouri(1/24/2024)
RR
Montana(1/24/2024)
RR
Nebraska(1/24/2024)
RR
Nevada(1/24/2024)
RR
New Hampshire(1/24/2024)
RR
New Jersey(1/24/2024)
RR
New Mexico(1/24/2024)
RR
New York(1/24/2024)
RR
North Carolina(1/24/2024)
RR
North Dakota(1/24/2024)
RR
Ohio(1/31/2024)
RR
Oklahoma(1/24/2024)
RR
Oregon(1/24/2024)
RR
Pennsylvania(1/24/2024)
RR
Puerto Rico(1/24/2024)
RR
Rhode Island(1/24/2024)
RR
South Carolina(1/24/2024)
RR
South Dakota(1/24/2024)
RR
Tennessee(1/24/2024)
RR
Texas(1/24/2024)
RR
Utah(1/24/2024)
RR
Vermont(1/24/2024)
RR
Virgin Islands(1/24/2024)
RR
Virginia(1/24/2024)
RR
Washington(1/24/2024)
RR
West Virginia(1/24/2024)
RR
Wisconsin(1/24/2024)
RR
Wyoming(1/24/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 6/28/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
ND
NATIXIS DISTRIBUTION, LLC
CDC IXIS ASSET MANAGEMENT DISTRIBUTORS, L.P. | TNE INVESTMENT SERVICES, L.P. | NVEST FUNDS DISTRIBUTOR, L.P. | NGAM DISTRIBUTION, L.P. | NEW ENGLAND FUNDS, L.P. | NATIXIS DISTRIBUTORS, L.P. | NATIXIS DISTRIBUTION, LLC | NATIXIS DISTRIBUTION, L.P. | IXIS ASSET MANAGEMENT DISTRIBUTORS, L.P.
CRD#: 34754 / SEC#: , 8-46325
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
888 Boylston Street Suite 800, Boston, MA 02199-8197
Mailing Address
888 Boylston Street Suite 800, Boston, MA 02199-8197
Phone number
(617) 449-2828
Established
Delaware since 07/23/1993
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIXIS INVESTMENT MANAGERS, LLC | SOLE MEMBER | |
| GIUNTA, DAVID LAWRENCE | PRESIDENT, CHIEF EXECUTIVE OFFICER | 2290469 |
| LOUREIRO, ANTHONY DAVID | CHIEF COMPLIANCE OFFICER | 2087464 |
| PINASMITH, BEATRIZ ANA | EXECUTIVE VICE PRESIDENT, PRINCIPAL FINANCIAL OFFICER | 2220599 |
| ROSH, MARILYN VINTON | SENIOR VICE PRESIDENT, PRINCIPAL OPERATIONS OFFICER | 4206001 |
| TOBIN, SUSAN MCWHAN | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL | 4649471 |
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
NATIXIS DISTRIBUTION, LLC
CRD#: 34754Boston, MA 02199-8197TRUST BUT VERIFY
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