Best Investors Account Sign in
Inactive

Nicklaus C Austin

Savvy

Charlotte, NC

New York, NY

Claim This Profile
Current Employers
Savvy

111 West 33Rd Street Unit 1410, New York, NY 10001 • United States

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2024-04-16
  • NC RA
    APPROVED
    Since 2024-04-16

Branch Locations

Charlotte, NC • United States

111 West 33Rd Street Unit 1410, New York, NY 10001 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Charlotte NC 02/2014 02/2017
Bank Of America N.A. Charlotte NC 12/2014 02/2017
Massachusetts Mutual Life Insurance Company Charlotte NC 03/2017 04/2024
Mml Investors Services, Llc Charlotte NC 03/2017 04/2024
Savvy Charlotte NC 04/2024 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-10-02
  • S66 Uniform Combined State Law Examination
    2014-10-02
Other Names
  • Nicklaus Chase Austin
  • Nicklaus Chase Austin
  • Chase Austin

View on SEC IAPD

More in Charlotte, NC

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor