Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Austin? Claim Your ProfileAustin Nathaniel Smith is a registered representative with Houlihan Lokey Capital, Inc. Austin has been in the securities industry since 2011. Austin holds the Series 7, Series 79, and Series 63 licenses and the SIE exam certification. Austin has a strong background in investment banking and is experienced in providing financial advisory services to a variety of clients. Austin has been registered with Houlihan Lokey Capital, Inc. since November 2019. Prior to that, Austin was registered with JMP Securities LLC and Houlihan Lokey Capital, Inc.. Austin has been active in the New York financial community for several years.
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
NY
11/04/2019 - Present
Houlihan Lokey Capital, Inc. (NEW YORK NY)
NY
09/19/2014 - 09/03/2019
JMP SECURITIES LLC (NEW YORK NY)
NY
01/12/2011 - 09/17/2014
HOULIHAN LOKEY CAPITAL, INC. (NEW YORK NY)
BC
Issued 01/14/2011
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/14/2016
Series 7 - General Securities Representative Examination
BC
Issued 01/11/2011
Series 79 - Investment Banking Registered Representative Examination
Active
Inactive
F
FINRA
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