David W. Austin

Some features on this profile are disabled

CRD#: 1137007

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

David Warren Austin was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1983. David had worked at 10 firms and has passed the Series 63, Series 2, Series 7, Series 22, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

April 20, 2011 - January 3, 2018

1650 WEALTH MANAGEMENT, LLC

RIA

CRD#: 152985

MIAMI, FL

Past

June 15, 2010 - December 31, 2010

1650 WEALTH MANAGEMENT, LLC

RIA

CRD#: 152985

MIAMI, FL

Past

March 27, 2009 - April 28, 2010

FOLDES FINANCIAL MANAGEMENT

RIA

CRD#: 147285

MIAMI, FL

Past

June 13, 2002 - December 26, 2008

FOLDES FINANCIAL MANAGEMENT, INC.

RIA

CRD#: 118679

MIAMI, FL

Past

October 20, 1998 - December 22, 2000

WESTMINSTER FINANCIAL SECURITIES, INC.

CRD#: 20677

BEAVERCREEK, OH

Past

August 25, 1992 - October 15, 1998

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

November 11, 1987 - August 31, 1992

INVESTACORP, INC.

CRD#: 7684

MIAMI, FL

Past

September 24, 1986 - November 17, 1987

GLOBAL INVESTOR SECURITIES, INC.

CRD#: 7514

Past

December 5, 1985 - September 19, 1986

PROFILE INVESTMENTS CORPORATION

CRD#: 16478

Past

July 26, 1985 - December 11, 1987

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

CRD#: 5181

Past

February 10, 1984 - February 18, 1986

GLOBAL INVESTOR SECURITIES, INC.

CRD#: 7514

Past

August 4, 1983 - April 18, 1984

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

1650 WEALTH MANAGEMENT, LLC

1650 WEALTH MANAGEMENT, LLC | IBIS WEALTH MANAGEMENT, LLC

CRD#: 152985 / SEC#: 801-131337

RIA

Registered Investment Advisory firm - (10/23/2024 Approved)

Florida

Registered Investment Advisory firm - (10/28/2024 Terminated)

Massachusetts

Registered Investment Advisory firm - (10/28/2024 Terminated)

Texas

Registered Investment Advisory firm - (10/28/2024 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 5/9/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 2

Date: 7/6/1987

Non-Member General Securities Examination

General Industry/Product Exam

Series 7

Date: 9/21/1985

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 6/11/1984

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 8/3/1983

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/27/1988

General Securities Principal Examination

Current Firm

1650 WEALTH MANAGEMENT, LLC

1650 WEALTH MANAGEMENT, LLC | IBIS WEALTH MANAGEMENT, LLC

CRD#: 152985 / SEC#: 801-131337

RIA

Registered Investment Advisory firm - (10/23/2024 Approved)

Florida

Registered Investment Advisory firm - (10/28/2024 Terminated)

Massachusetts

Registered Investment Advisory firm - (10/28/2024 Terminated)

Texas

Registered Investment Advisory firm - (10/28/2024 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

4400 N Federal Highway Suite 2, Lighthouse Point, FL 33064

Mailing Address

Phone number

(800) 658-9560

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2 (9/23/2025)

FORM ADV PART 2 B TOM BALCOM (3/13/2025)

Regulatory assets under management

Total Number of Accounts	477
AUM (Assets Under Management)	$ 112,000,000

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

David W. Austin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

1650 WEALTH MANAGEMENT, LLC

FOLDES FINANCIAL MANAGEMENT

FOLDES FINANCIAL MANAGEMENT, INC.

WESTMINSTER FINANCIAL SECURITIES, INC.

OSAIC WEALTH, INC.

INVESTACORP, INC.

GLOBAL INVESTOR SECURITIES, INC.

PROFILE INVESTMENTS CORPORATION

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

GLOBAL INVESTOR SECURITIES, INC.

GUARDIAN INVESTOR SERVICES LLC

Primary Firm SEC Registration

1650 WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/9/1984

Series 2

Date: 7/6/1987

Series 7

Date: 9/21/1985

Series 22

Date: 6/11/1984

Series 6

Date: 8/3/1983

Series 24

Date: 1/27/1988

Current Firm

1650 WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

1650 WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

Similar Advisors