Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Austin? Claim Your ProfileAustin Sandoval is a financial advisor at Merrill Lynch, Pierce, Fenner & Smith Inc. in San Diego, California. Austin has been working in the financial services industry since 2022 and is registered with the Financial Industry Regulatory Authority (FINRA) and the State of California as a Registered Representative. Austin holds Series 7, 63, and 66 licenses. Austin specializes in providing portfolio management, investment advisory, and financial planning services to individuals and businesses.
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
CA
12/06/2022 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SAN DIEGO CA)
CA
04/05/2022 - 10/06/2022
THRIVENT INVESTMENT MANAGEMENT INC. (Del Mar CA)
BOTH
Issued 6/1/2022
Series 66 - Uniform Combined State Law Examination
BC
Issued 5/13/2022
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 4/4/2022
Series 7TO - General Securities Representative Examination
BC
Issued 10/25/2021
SIE - Securities Industry Essentials 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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