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Richard B. Austin

Raymond James & Associates, Inc.

Montgomery, AL

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Current Employers
Raymond James & Associates, Inc.

880 Carillon Parkway, St. Petersburg, FL 33716 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2024-07-31
AL RA APPROVED 2019-10-10
  • TX RA
    APPROVED_RES
    Since 2024-07-31
  • AL RA
    APPROVED
    Since 2019-10-10

Branch Locations

7460 Halcyon Pointe Drive Suite #101, Montgomery, AL 36117 • 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
Ubs Financial Services Inc Montgomery AL 02/2009 10/2019
Raymond James & Associates, Inc Montgomery AL 10/2019 Present
Previous Registrations
  • 2009-02-27 → 2019-10-21
    Ubs Financial Services Inc.
    Montgomery, AL
  • 2007-04-02 → 2009-03-02
    Morgan Stanley & Co. Llc
    Montgomery, AL
  • 2005-10-14 → 2007-04-02
    Morgan Stanley Dw Inc.
    Montgomery, AL
    Montgomery, AL
  • 2000-07-06 → 2005-10-20
    Legg Mason Wood Walker, Incorporated
    Montgomery, AL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-04-01
S63 Uniform Securities Agent State Law Examination 1987-02-23
  • S65 Uniform Investment Adviser Law Examination
    1997-04-01
  • S63 Uniform Securities Agent State Law Examination
    1987-02-23
Other Names
  • Richard Baker Austin

View on SEC IAPD

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Other Investors

RICHARD K.E. AKINYEMI
RICHARD DALE STEWART
MATTHEW BLAKE MURPHY
Dustin Grant Hatfield
Emily Lauren Farrior
REBECCA HARDWICH BAKER
ADAM MILLER ROGERS
JEFFREY WRIGHT

Other Offices

RWC WEALTH MANAGEMENT, INC. · MONTGOMERY, AL
LPL ENTERPRISE, LLC · MONTGOMERY, AL
MARBLE WEALTH, LLC · MONTGOMERY, AL
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Montgomery, AL
EAGLE STRATEGIES LLC · MONTGOMERY, AL
SYNOVUS SECURITIES, INC. · MONTGOMERY, AL
SUMMIT FINANCIAL, LLC · MONTGOMERY, AL
EAGLE STRATEGIES LLC · MONTGOMERY, AL

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