Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Austin? Claim Your ProfileAustin Peffers is a financial advisor who has been in the industry since June 2019. Austin is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc., where Austin holds Series 66, Series 7TO, SIE, and Series 6TO licenses. Prior to joining Merrill Lynch, Austin was registered with TRINITY WEALTH SECURITIES, L.L.C.. Austin is licensed in several states including Alabama, Arizona, Connecticut, Florida, Georgia, Kansas, Maryland, Massachusetts, Mississippi, New Jersey, New York, North Carolina, Ohio, Pennsylvania, South Carolina, Texas, and Virginia. Austin has been an advisor for approximately 4 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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
FL
10/06/2021 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SAINT PETERSBURG FL)
FL
03/25/2019 - 07/30/2020
TRINITY WEALTH SECURITIES, L.L.C. (tampa FL)
BOTH
Issued 12/02/2020
Series 66 - Uniform Combined State Law Examination
IA
Issued 06/29/2019
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/02/2020
Series 7TO - General Securities Representative Examination
BC
Issued 03/24/2019
SIE - Securities Industry Essentials Examination
BC
Issued 03/05/2019
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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