AL
Austin J. Linden
FINANCIAL MANAGEMENT STRATEGIES
Broadview Hts., OH 44147
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CRD#: 1881356
AL
Professional summary
Austin John Linden III, CFP®, ChFC®, CLU®, who also goes by Austin John Linden, Dean Linden, is a registered financial advisor currently at FINANCIAL MANAGEMENT STRATEGIES, INC. located in Broadview Hts., Ohio and CETERA INVESTMENT ADVISERS LLC located in Broadview Heights, Ohio.
Austin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Austin has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Austin John Linden | Dean Linden
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.
(1) INDEPENDENT INSURANCE AGENT, DISABILITY, FIXED ANNUITIES, LIFE/ACCIDENT/HEALTH, LONG-TERM CARE, BEGAN 08/1988, 21HRS/WKDY, 21HRS WKEND; (2) INVESTMENT ADVISOR REPRESENTATIVE W/FINANCIAL MGMT STRATEGIES INC, BEGAN 01/2002, 15HRS/WKDY, 15HRS/WKEND; (3) ROTARY CLUB OF CLEVELAND, NOT INVESTMENT RELATED, 1122 PROSPECT AVE., CLEVELAND, OH 44115, SERVICE TO COMMUNITY, START 07/01/2011, 1HR/WK (NON-TRADING HOURS), BOARD TRUSTEE; (4) NAME OF OTHER BUSINESS: VISION WEALTH MANAGEMENT LLC ; INVESTMENT RELATED: YES ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: FINANCIAL SERVICES ; START DATE: 05/2021 ; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL ; APX NUMBER OF HOURS PER WEEK: 30 ; APX NUMBER OF HOURS DURING TRADING HOURS: 30 ; BRIEF DESCRIPTION OF DUTIES: SECURITIES AND INSURANCE SALES AND SERVICE ;
CRS (Client Relationship Summary) - RIA
Click below to view Austin John Linden III's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 1994
Experience
Current
April 26, 2000 - Present
FINANCIAL MANAGEMENT STRATEGIES, INC.
Office #1: 9200 South Hills Blvd. Suite 310, Broadview Hts., OH 44147RIA
CRD#: 120818
Broadview Hts., OH
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 9200 South Hills Blvd Ste 310, Broadview Heights, OH 44147RIA
CRD#: 105644
BROADVIEW HEIGHTS, OH
Current
September 3, 2013 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 9200 South Hills Blvd Ste 310, Broadview Heights, OH 44147BD
CRD#: 13572
Broadview Heights, OH
Past
September 3, 2013 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
CLEVELAND, OH
Past
August 2, 2010 - September 3, 2013
WALNUT STREET SECURITIES, INC.
RIA
CRD#: 15840
VALLEY VIEW, OH
Past
July 16, 1996 - September 3, 2013
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
VALLEY VIEW, OH
Past
October 4, 1988 - October 19, 1992
HOME LIFE INSURANCE COMPANY
BD
CRD#: 4184
Past
October 4, 1988 - July 15, 1996
WS GRIFFITH SECURITIES, INC.
BD
CRD#: 10410
HARTFORD, CT
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(9/3/2013)
RR
Arizona(9/3/2013)
RR
California(9/30/2016)
RR
Florida(9/3/2013)
RR
Maryland(9/3/2013)
RR
Missouri(8/9/2021)
RR
New York(9/3/2013)
RR
North Carolina(11/30/2017)
IAR
Ohio(4/26/2000)
RR
Ohio(9/3/2013)
RR
Pennsylvania(1/3/2024)
RR
South Carolina(9/14/2016)
RR
Texas(11/22/2023)
IAR
Texas(11/22/2023)
RR
Washington(11/15/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
