Douglas 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.
Douglas D Austin, who also goes by Douglas D Austin Sr, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1968. Douglas had worked at 10 firms and has passed the Series 1 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 13, 2012 - May 10, 2012
AUSTIN, DOUGLAS D.
February 11, 2011 - March 14, 2012
GRADIENT ADVISORS, LLC
October 29, 2009 - February 9, 2011
AMERICAN INVESTMENT SERVICES
January 17, 2008 - September 8, 2009
OGILVIE SECURITY ADVISORS CORPORATION
January 2, 2008 - September 8, 2009
OGILVIE SECURITY ADVISORS CORPORATION
May 1, 2000 - October 30, 2007
OGILVIE SECURITY ADVISORS CORPORATION
January 21, 1999 - October 30, 2007
OGILVIE SECURITY ADVISORS CORPORATION
November 15, 1993 - December 31, 1998
OGILVIE SECURITY ADVISORS CORPORATION
December 2, 1992 - January 4, 1994
FSC SECURITIES CORPORATION
November 19, 1989 - January 28, 1991
OSAIC WEALTH, INC.
June 8, 1984 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
March 11, 1975 - August 26, 1982
PENSION EQUITIES CO.
August 3, 1973 - March 10, 1975
SOUTHMARK FINANCIAL SERVICES, INC.
December 2, 1968 - August 3, 1973
CAPITAL SECURITIES COMPANY
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 1
Date: 7/3/1968
Registered Representative ExaminationCurrent Firm
AUSTIN, DOUGLAS D.
CRD#: 159570 / SEC#:
Contact information
Red Flags
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