Dave Austin
Supervisory Principal
- Role
- Supervisory Principal at Corebridge Financial
- Location
- Houston, TX, US
- LinkedIn followers
- 500 followers
About Dave Austin
Insurance and securities industry professional. Experience includes leadership…
Experience
Supervisory Principal
Nov 2024 — Present · Houston, TX, US
Responsible for identifying and assisting in mitigating compliance risk within the organization. Help coordinate efforts between financial professionals and internal operational partners to ensure business is processed within department service level agreements. Perform research and participate in escalated issues or rejections. Manage and maintain strong relationships with business partners. Research and respond to complex or non-routine requests for assistance and problem resolution. Conduct suitability review for business requiring firm pre-approval, to include, but not limited to mutual fund purchases, variable or fixed annuity initial purchases or exchanges.Securities and investment advisory services offered through VALIC Financial Advisors, Inc.(VFA), member FINRA, SIPC and an SEC-registered investment adviser. VFA is a member of Corebridge Financial, Inc.
Education
Southern Illinois University, Carbondale
Bachelor of Science
1989 — 1993
Southwestern Illinois College
Associate of Applied Science
1989 — 1991
The American College
Chartered Life Underwriter
2011 — 2012
Skills
- 412(E)(3) Fully Insured Defined Benefit Plans
- Disability Insurance
- Business Succession Planning
- Trusts/Ilits/Idits
- Life Insurance
- Finance
- Retirement
- Strategic Financial Planning
- Leadership
- Sales Pipeline Management
- Mutual Funds
- Income Protection
- Executive 162 Bonus Plans
- Nonqualified Deferred Compensation Plans
- Split Dollar Plans
- Management
- Estate Planning
- Financial Services
- Qualified Plans
- Insurance
- Sales Coach
- Fixed Annuities
- Sales
- Financial Planners
- Long Term Care Insurance
- Personal Planning
- Sales Management
- Non-Qualified Deferred Compensation
- Life Insurance Trusts
- Financial Advisory
- Plannning
- Family Income Protection Plans
- Small Business
- Investments
- Charitable Gifts/Trusts - Crts/Clts
- Bonus
- Buy-Sell Agreements
- Succession Planning
- Retirement Planning
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