Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Austin? Claim Your ProfileAustin James Stapleton is a financial professional with over 4 years of experience in the industry. Austin is currently registered with SMBC Nikko Securities America, Inc. in Charlotte, NC and is licensed to provide securities and investment advisory services in 51 states.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
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2
NC
09/11/2018 - Present
Smbc Nikko Securities America, Inc. (Charlotte NC)
BC
Issued 09/28/2018
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/11/2018
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
N
NYSE Arca, Inc.
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