Articles Tagged with Aaron Austin

Aaron AustinPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 31, 2018 indicate that former Maryland-based LPL Financial broker/adviser Aaron Austin has been sanctioned by FINRA in connection to alleged rule violations and from acting as a broker. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Austin (CRD# 5481214).

Aaron Austin has spent four years in the securities industry and was most recently registered with LPL Financial in Bel Air, Maryland (2017-2018). Previous registrations include M&T Securities in Bear, Delaware (2012-2015) and M&T Securities in Bel Air, Maryland (2010-2011). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on August 24, 2015; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on December 20, 2012; SIE (Securities Industry Essentials Examination), which he obtained on May 25, 2018; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on May 10, 2010. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one customer complaint, one regulatory sanction, and a pending criminal charge, and he was discharged from his former employer in connection to alleged rule violations.

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