Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Austin? Claim Your ProfileAustin Nicholas is a financial advisor with over 10 years of experience in the financial services industry. Austin is currently registered with Performance Trust Capital Partners, LLC in Charlotte, NC. Austin has a broad range of experience, having previously worked for firms such as Stephens, Piper Jaffray & Co., Sterne, Agee & Leach, Inc., and Oppenheimer & Co. Inc. Austin holds several licenses and certifications, including Series 7, 63, 24, 65, 79TO, 86, and 87. He is also a registered principal and has a broad range of experience in investment banking, research, and securities trading.
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.
1
2
NC
01/09/2020 - Present
Performance Trust Capital Partners, LLC (Charlotte NC)
ME
04/30/2015 - 01/08/2020
STEPHENS (Portland ME)
NY
04/01/2015 - 05/12/2015
PIPER JAFFRAY & CO. (NEW YORK NY)
ME
05/14/2014 - 04/08/2015
STERNE, AGEE & LEACH, INC. (PORTLAND ME)
NY
10/14/2010 - 04/17/2014
OPPENHEIMER & CO. INC. (NEW YORK NY)
IA
Issued 06/28/2018
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/23/2010
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/25/2024
Series 24 - General Securities Principal Examination
BC
Issued 06/26/2020
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/27/2011
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 03/30/2011
Series 86 - Research Analyst Exam - Part I Analysis Module
BC
Issued 10/13/2010
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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