Matthew D. 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.
Matthew D Austin, who also goes by Matthew Austin, was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 2021. Matthew had worked at 2 firms and has passed the Series 63, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 21, 2024 - October 27, 2025
TD FINANCIAL PRODUCTS LLC
August 14, 2021 - September 15, 2023
GOLDMAN SACHS & CO. 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
Series 7TO
Date: 8/14/2021
General Securities Representative ExaminationCurrent Firm
TD FINANCIAL PRODUCTS LLC
CRD#: 154838 / SEC#: , 8-68677
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TORONTO DOMINION HOLDINGS (U.S.A.) INC. | OWNER | |
| GIBSON, GLENN | CHIEF EXECUTIVE OFFICER | 5659024 |
| JENKINS, CHRISTINE J | FINANCIAL & OPERATIONS PRINCIPAL | 4911933 |
| MANNION, MARTIN | CO-HEAD OF ELECTRONIC TRADING | 4830837 |
| ORTIZ, JORGE LUIS | CHIEF FINANCIAL OFFICER | 2725922 |
| PETROU, CHRISTINA A | CHIEF OPERATING OFFICER | 4007468 |
| SCHRAGER, MATTHEW | CO-HEAD OF ELECTRONIC TRADING | 6488305 |
| SUNDRAM, JEFFREY JOSEPH RODRIGUES | CHIEF COMPLIANCE OFFICER | 6191294 |
Red Flags
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