Unclaimed
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.
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.
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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2
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)
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
Active
Inactive
F
FINRA
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