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Michael J Austin

Capella Securities LLC

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About Michael J Austin

Michael J. Austin is a registered representative with Capella Securities LLC. Michael is a licensed investment advisor representative, holding Series 7, 63, 65, 79TO, and SIE licenses. Michael has been in the financial services industry since 1997 and previously worked for First Trust Portfolios L.P., INCAPITAL INSURANCE SERVICES, LLC, INCAPITAL LLC, and Van Kampen Funds Inc. Michael is registered in California, Connecticut, Florida, Illinois, New York, and Virginia.

Firm Information

Michael Austin is currently registered with Capella Securities LLC. Capella Securities LLC is a Limited Liability Company formed on October 31, 2014. It is registered in 20 states and has one approved SEC registration.

Not reported

Assets Under Management

Not reported

Total Clients

5

Total Financial Advisors

Services Offered

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.

Fee Structure

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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Michael Austin’s Registration & Firm History

NY

01/10/2019 - Present

Capella Securities LLC (NEW YORK NY)

IL

04/03/2012 - 08/17/2018

FIRST TRUST PORTFOLIOS L.P. (WHEATON IL)

FL

10/31/2011 - 03/30/2012

INCAPITAL INSURANCE SERVICES, LLC (BOCA RATON FL)

FL

06/09/2010 - 03/30/2012

INCAPITAL LLC (BOCA RATON FL)

TX

08/21/2006 - 06/04/2010

VAN KAMPEN FUNDS INC. (HOUSTON TX)

IL

01/16/2002 - 08/04/2006

FIRST TRUST PORTFOLIOS L.P. (WHEATON IL)

TX

07/15/1997 - 08/23/2001

VAN KAMPEN FUNDS INC. (HOUSTON TX)

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Licenses & Designations

IA

Issued 03/03/2003

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 12/18/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 08/17/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/14/1997

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Michael J Austin.
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