Austin G. Webb
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.
Austin Gregory Webb, who also goes by Austin Greggory Webb, Greg Webb, was a registered financial professional .
Austin is a previously registered financial professional and started their career in finance in 1977. Austin had worked at 7 firms and has passed the Series 63, SIE, Series 3, PC and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 19, 2005 - July 13, 2015
SAMCO CAPITAL MARKETS, INC.
February 3, 2003 - May 19, 2006
PENSON FINANCIAL SERVICES, INC.
August 29, 2000 - February 3, 2003
SERVICE ASSET MANAGEMENT COMPANY
January 8, 1998 - September 1, 2000
PENSON FINANCIAL SERVICES, INC.
October 3, 1995 - December 2, 1997
PRINCIPAL FINANCIAL SECURITIES,INC.
September 9, 1985 - October 16, 1995
RAUSCHER PIERCE REFSNES, INC.
January 31, 1980 - October 3, 1985
UBS FINANCIAL SERVICES INC.
June 1, 1977 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
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
PC
Date: 9/7/1977
AMEX Put and Call ExamCurrent Firm
SAMCO CAPITAL MARKETS, INC.
CRD#: 136532 / SEC#: , 8-67023
Contact information
FINRA licenses (52 States and Territories)
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.
