Caroline B. Austin
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.
Caroline Beyer Austin, who also goes by Carey Austin, Caroline B Austin, Caroline Austin, Caroline Sue Beyer, Caroline Beyer Kish, was a registered financial professional .
Caroline is a previously registered financial professional and started their career in finance in 1980. Caroline had worked at 18 firms and has passed the Series 63, Series 65, Series 7, Series 53, Series 27, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 19, 2013 - December 31, 2013
BOURNEHILL INVESTMENT SERVICES, INC.
February 6, 2013 - September 11, 2018
CROSS BORDERS ADVISORS LLC
March 26, 2009 - July 31, 2012
FSW ADVISORY SERVICES INC.
January 27, 2009 - July 31, 2012
HILLTOP SECURITIES ASSET MANAGEMENT, LLC
January 26, 2009 - July 31, 2012
FIRST SOUTHWEST COMPANY, LLC
March 14, 2008 - January 21, 2009
CRESCENT SECURITIES GROUP, INC.
October 21, 2005 - February 27, 2008
EFG ADVISORS
October 20, 2005 - February 27, 2008
EVOLVE SECURITIES, INC.
March 3, 2005 - February 27, 2008
EVOLVE SECURITIES, INC.
October 4, 2004 - November 22, 2004
MOMENTUM INDEPENDENT NETWORK INC.
October 4, 2004 - November 22, 2004
HILLTOP SECURITIES INC.
November 19, 2002 - November 22, 2004
MOMENTUM INDEPENDENT NETWORK INC.
October 8, 2002 - November 22, 2004
HILLTOP SECURITIES INC.
October 22, 2001 - October 17, 2002
CETERA WEALTH SERVICES, LLC
February 24, 1998 - November 17, 1999
MELVIN SECURITIES, L.L.C.
November 28, 1997 - January 28, 1998
CHRISTOPHER WEIL & COMPANY, INC.
January 23, 1989 - February 2, 1996
E*TRADE CAPITAL MARKETS - EXECUTION SERVICES LLC
October 17, 1986 - June 28, 1988
LONGVIEW FINANCIAL SERVICES COMPANY
May 2, 1986 - July 1, 1987
REPUBLICBANK SECURITIES COMPANY, INC.
February 7, 1983 - May 27, 1983
AMERIPRISE ADVISOR SERVICES, INC.
July 1, 1980 - December 14, 1982
DALEY & COMPANY
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
BOURNEHILL INVESTMENT SERVICES, INC.
CRD#: 104003 / SEC#: , 8-52474
Contact information
FINRA licenses (2 States and Territories)
Documents
Disclosures
| Regulatory Event | 3 |
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.
