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DANIEL LORD AUSTIN
DAN AUSTIN, DANIEL AUSTIN
CRD#: 1170912
IA
Investment Adviser
B
Broker
RBC CAPITAL MARKETS, LLCCRD#: 31194 750 TOWN AND COUNTRY BLVD
SUITE 325
HOUSTON, TX 77024-4576
Registration History
1985199019952000200520102015202020252 FIRMS2002 - 2006 (4 years)2 FIRMS2006 - 2016 (10 years)2 FIRMS2016 - 2018 (1 year)2 FIRMS2018 - Present (6 years)BJ.P. MORGAN SECURITIES INC. (CRD# 18718)2001 - 2002 (<1 year)BJ.P. MORGAN SECURITIES OF TEXA... (CRD# 17116)1987 - 2002 (14 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1983 - 1985 (1 year)
License(s)

State Registrations

B
Alabama 1/4/2022

B
Mississippi 4/9/2018

B
Arizona 12/4/2019

B
Montana 12/4/2019

B
Arkansas 12/4/2019

B
Nevada 12/4/2019

B
California 11/18/2019

B
New Mexico 11/18/2019

B
Colorado 11/19/2019

B
New York 4/9/2018

B
Connecticut 12/4/2019

B
North Carolina 4/9/2018

B
Delaware 12/2/2021

B
Ohio 12/4/2019

B
Florida 4/9/2018

B
Oklahoma 6/30/2021

B
Georgia 11/19/2019

B
Oregon 12/4/2019

B
Illinois 4/9/2018

B
Pennsylvania 12/4/2019

B
Indiana 1/4/2022

B
Tennessee 10/28/2022

B
Iowa 5/15/2023

B
Texas 4/9/2018

B
Kansas 5/3/2023

IA
Texas 4/9/2018

B
Louisiana 11/18/2019

B
Virginia 12/4/2019

B
Maryland 3/23/2022

B
Washington 1/4/2022

B
Massachusetts 6/4/2021

B
Wisconsin 1/26/2022

B
Minnesota 1/4/2022

SRO Registrations

B
BOX Exchange LLC

B
Cboe BYX Exchange, Inc.

B
Cboe BZX Exchange, Inc.

B
Cboe C2 Exchange, Inc.

B
Cboe EDGA Exchange, Inc.

B
Cboe EDGX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
Investors' Exchange LLC

B
Long-Term Stock Exchange, Inc.

B
MEMX LLC

B
MIAX PEARL, LLC

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
NYSE National, Inc.

B
Nasdaq BX, Inc.

B
Nasdaq GEMX, LLC

B
Nasdaq ISE, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

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Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
RBC CAPITAL MARKETS, LLC (CRD#:31194)
750 TOWN AND COUNTRY BLVD SUITE 325, HOUSTON, TX 77024-4576
Houston, TX
Registered with this firm since 4/9/2018

B
RBC CAPITAL MARKETS, LLC (CRD#:31194)
750 TOWN AND COUNTRY BLVD SUITE 325, HOUSTON, TX 77024-4576
Houston, TX
Registered with this firm since 4/9/2018

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
09/06/2016 - 05/03/2018 RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705) Houston, TX
B
09/06/2016 - 05/03/2018 RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705) Houston, TX
IA
05/12/2006 - 09/06/2016 DEUTSCHE BANK SECURITIES INC. (CRD#:2525) HOUSTON, TX
B
05/12/2006 - 09/06/2016 DEUTSCHE BANK SECURITIES INC. (CRD#:2525) HOUSTON, TX
IA
03/11/2002 - 05/22/2006 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) HOUSTON, TX
B
03/11/2002 - 05/22/2006 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) HOUSTON, TX
B
08/10/2001 - 03/14/2002 J.P. MORGAN SECURITIES INC. (CRD#:18718) NEW YORK, NY
B
10/19/1987 - 03/07/2002 J.P. MORGAN SECURITIES OF TEXAS, INC. (CRD#:17116) HOUSTON, TX
B
08/24/1983 - 06/19/1985 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.