Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Austen is a financial professional with over 20 years of experience in the industry. David is currently registered with HSBC Securities (USA) Inc. in New York, NY. David has held various positions at firms including Nomura Securities International, Inc., RBS Securities Inc., Bear, Stearns & Co. Inc. and Federated Securities Corp.. David has a broad range of licenses and certifications including Series 66, Series 63, Series 4, Series 24, Series 23, Series 10, Series 9, SIE, Series 55, Series 7 and Series 6.
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.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Provide asset alloc recommendations & based upon such recommendations 3rd party adv to manage assets pursuant to client approval
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.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
NY
10/20/2017 - Present
Hsbc Securities (usa) Inc. (NEW YORK NY)
NY
10/01/2009 - 12/02/2015
NOMURA SECURITIES INTERNATIONAL, INC. (NEW YORK NY)
CT
08/04/2008 - 07/01/2009
RBS SECURITIES INC. (GREENWICH CT)
NY
05/03/2001 - 08/14/2008
BEAR, STEARNS & CO. INC. (NEW YORK NY)
PA
04/19/2001 - 04/26/2001
INVESMART SECURITIES, LLC (PITTSBURGH PA)
PA
08/20/1996 - 08/15/1997
FEDERATED SECURITIES CORP. (PITTSBURGH PA)
BOTH
Issued 04/06/2001
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/09/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 4 - Registered Options Principal Examination
BC
Issued 01/02/2023
Series 24 - General Securities Principal Examination
BC
Issued 04/12/2006
Series 23 - General Securities Principal Sales Supervisor
BC
Issued 01/03/2005
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/01/2004
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/31/2014
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 03/29/2001
Series 7 - General Securities Representative Examination
BC
Issued 08/16/1996
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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