Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Daniel? Claim Your ProfileDaniel Austin is a financial advisor with over 30 years of experience in the industry. He is currently registered with RBC Capital Markets, LLC and is licensed to provide investment advice in over 30 states. Daniel specializes in serving high-net-worth individuals, corporations, pension and profit-sharing plans, and charitable organizations. He also provides financial planning, portfolio management, and other advisory services. Prior to joining RBC, Daniel worked with Raymond James & Associates, Inc. and Deutsche Bank Securities Inc., where he served in various roles, including investment advisor and financial consultant.
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.
Comprehensive financial plans to help you achieve your personal and business 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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
1
2
TX
04/09/2018 - Present
RBC Capital Markets, LLC (HOUSTON TX)
TX
09/06/2016 - 05/03/2018
RAYMOND JAMES & ASSOCIATES, INC. (Houston TX)
TX
05/12/2006 - 09/06/2016
DEUTSCHE BANK SECURITIES INC. (HOUSTON TX)
TX
03/11/2002 - 05/22/2006
CITIGROUP GLOBAL MARKETS INC. (HOUSTON TX)
NY
08/10/2001 - 03/14/2002
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
TX
10/19/1987 - 03/07/2002
J.P. MORGAN SECURITIES OF TEXAS, INC. (HOUSTON TX)
NA
08/24/1983 - 06/19/1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BC
Issued 07/25/2011
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 09/15/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/20/1983
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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