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MA

Matthew Augustine

DOUGLAS SCOTT SECURITIES
Plano, TX 75075
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CRD#: 7831610
MA

Professional summary


Matthew Augustine is a registered financial professional currently at DOUGLAS SCOTT SECURITIES, INC. located in Plano, Texas.

Matthew is registered as a RR (Registered Representative) and started their career in finance in 2024. Matthew has worked at 1 firm and has passed the Series 63, Series 22TO and SIE exams.

top-8-questions

Question & Answer


Are you a "fiduciary"?
No

Aliases


None

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.

Blog Corner


CRS (Client Relationship Summary) - BD


Click below to view Matthew Augustine's CRS (Customer Relationship Summary).
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®
None

Experience


Current

February 2, 2024 - Present

DOUGLAS SCOTT SECURITIES, INC.

Office #1: 1700 Alma Dr Suite 110a, Plano, TX 75075
BD
CRD#: 39032
Plano, TX

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
Arizona
(4/11/2024)
RR
Arkansas
(3/28/2024)
RR
California
(3/27/2024)
RR
Colorado
(3/28/2024)
RR
Connecticut
(3/28/2024)
RR
Florida
(5/30/2024)
RR
Georgia
(3/28/2024)
RR
Illinois
(5/1/2024)
RR
Iowa
(4/1/2024)
RR
Kansas
(3/27/2024)
RR
Kentucky
(3/27/2024)
RR
Louisiana
(3/28/2024)
RR
Maryland
(3/28/2024)
RR
Michigan
(3/29/2024)
RR
Minnesota
(3/27/2024)
RR
Missouri
(3/27/2024)
RR
Nevada
(3/27/2024)
RR
New Jersey
(3/27/2024)
RR
New Mexico
(3/28/2024)
RR
New York
(3/28/2024)
RR
Ohio
(3/27/2024)
RR
Oklahoma
(4/3/2024)
RR
Pennsylvania
(3/28/2024)
RR
South Carolina
(4/2/2024)
RR
Tennessee
(11/21/2024)
RR
Texas
(2/2/2024)
RR
Utah
(3/28/2024)
RR
Virginia
(3/28/2024)
RR
Washington
(3/27/2024)

Exams


State Security Law Exam
RR
Series 63
Date: 11/11/2023
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 22TO
Date: 1/13/2024
Direct Participation Programs Representative Examination
General Industry/Product Exam
SRO Registrations
RR
FINRA

Current Firm


DS
DOUGLAS SCOTT SECURITIES, INC.
DOUGLAS SCOTT SECURITIES, INC.

CRD#: 39032 / SEC#: , 8-48506

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information


Main Address
1700 Alma Dr Suite 110a, Plano, TX 75075
Mailing Address
1700 Alma Dr Suite 110a, Plano, TX 75075
Phone number
(972) 235-8468
Established
Texas since 07/17/1995
Firm type
Corporation
Fiscal year end
October
Firm Size
Small
# of Employees

FINRA licenses (29 States and Territories)


Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents


Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers


NamePositionCRD#
MANN, JEFFREY DOUGLASPRESIDENT/CHIEF EXECUTIVE OFFICER2429708
KELTNER, ERIC RYANCHIEF COMPLIANCE OFFICER, CHIEF FINOP4901381

Disclosures


Civil Event1

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


DOUGLAS SCOTT SECURITIES, INC.

CRD#: 39032Plano, TX 75075

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