Harold C. 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.
Harold Clark Austin, who also goes by H Clark Austin, was a registered financial professional .
Harold is a previously registered financial professional and started their career in finance in 1977. Harold had worked at 12 firms and has passed the Series 65, Series 6TO, SIE 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 25, 2019 - May 19, 2025
LPL FINANCIAL LLC
February 25, 2019 - May 19, 2025
LPL FINANCIAL LLC
January 24, 2008 - December 31, 2008
UNITED SECURITIES ALLIANCE, INC.
April 27, 2007 - December 31, 2007
UNITED SECURITIES ALLIANCE, INC.
March 1, 2007 - February 26, 2019
OSAIC WEALTH, INC.
March 1, 2007 - February 26, 2019
OSAIC WEALTH, INC.
April 19, 2005 - March 1, 2007
UNITED SECURITIES ALLIANCE, INC.
April 1, 2003 - March 1, 2007
UNITED SECURITIES ALLIANCE, INC.
February 22, 2001 - April 14, 2003
WALNUT STREET SECURITIES, INC.
March 24, 1999 - September 29, 2000
WOODBURY FINANCIAL SERVICES, INC.
May 7, 1998 - March 22, 1999
GUARDIAN INVESTOR SERVICES LLC
October 2, 1995 - May 15, 1998
WOODBURY FINANCIAL SERVICES, INC.
February 8, 1990 - October 27, 1995
SECURIAN FINANCIAL SERVICES, INC.
January 11, 1989 - December 12, 1989
NEW ENGLAND SECURITIES
June 18, 1987 - January 24, 1989
AVANTAX INVESTMENT SERVICES, INC.
January 6, 1983 - March 2, 1987
ISC SECURITIES, INC.
October 6, 1980 - November 22, 1982
IRG SECURITIES, INC.
March 3, 1977 - December 14, 1980
LINCOLN FINANCIAL DISTRIBUTORS, INC.
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 1
Date: 2/25/1977
Registered Representative ExaminationCurrent Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
