James 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.
James David Austin JR was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1976. James had worked at 3 firms and has passed the Series 65 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 2, 2018 - March 17, 2023
AUSTIN, JAMES
December 10, 1986 - November 2, 1998
EQUITY SERVICES, INC.
November 1, 1976 - December 10, 1986
THE COLUMBIAN SECURITIES CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 1
Date: 10/21/1976
Registered Representative ExaminationCurrent Firm
AUSTIN, JAMES
CRD#: 290354 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 1 |
| AUM (Assets Under Management) | $ 3,051,650 |
Red Flags
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