Gene R. Austin

AUSTIN FINANCIAL STRATEGIES

Indianapolis, IN 46237

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CRD#: 2296065

Professional summary

Gene Robert Austin is a registered financial advisor currently at AUSTIN FINANCIAL STRATEGIES, INC. located in Indianapolis, Indiana.

Gene is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Gene has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

1. AUSTIN FINANCIAL STRATEGIES, A STATE REGISTERED RIA THAT RECEIVED FEE ONLY PAYMENTS FOR ADVISORY SERVICES. IT IS INVESTMENT RELATED. SERVE AS PRESIDENT, SINCE JANUARY 2012, RESPONSIBLE FOR DAILY OPERATIONS OF INVESTMENT MANAGEMENT OF CLIENT ACCOUNTS. 100 HOURS/MONTH MOST ARE SPENT DURING MARKET HOURS. 2. AUSTIN FINANCIAL GROUP, A SUB S CORPORTAION FOR THE SALE OF SECURITIES AND VARIABLE PRODUCTS AND IS INVESTMENT RELATED. SERVE AS PRESIDENT OF DAILY OPERATIONS OF SALES SINCE JANUARY 2012. APPROXIMATELY 100 HOURS/MONTH ARE SPENT ON THIS ACTIVITY, MOST ARE SPENT DURING MARKET HOURS. 3. AUSTIN SPEED AND AGILITY - A SUB S CORPORATION TRAINING ATHELETES IN SPEED AND AGILITY. PRESIDENT/OWNER - 40 HRS/MO OUTSIDE OF BUSINESS HOURS, NON-INVESTMENT RELATED.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gene Robert Austin'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®

None

Experience

Current

February 13, 2012 - Present

AUSTIN FINANCIAL STRATEGIES, INC.

Office #1: 5110 Commerce Square Dr Suite G, Indianapolis, IN 46237

RIA

CRD#: 160828

Indianapolis, IN

Past

October 16, 2015 - December 31, 2016

TRADINGBLOCK

CRD#: 128605

Indianapolis, IN

Past

February 16, 2012 - October 27, 2015

ADIRONDACK TRADING GROUP LLC

CRD#: 103910

INDIANAPOLIS, IN

Past

April 1, 1999 - February 15, 2012

CREATIVE FINANCIAL DESIGNS, INC.

RIA

CRD#: 109032

INDIANAPOLIS, IN

Past

February 22, 1999 - February 15, 2012

CFD INVESTMENTS, INC.

CRD#: 25427

INDIANAPOLIS, IN

Past

November 24, 1992 - May 17, 1999

ONEAMERICA SECURITIES, INC.

CRD#: 4173

INDIANAPOLIS, IN

Past

November 24, 1992 - May 17, 1999

AMERICAN UNITED LIFE INSURANCE COMPANY

CRD#: 1075

INDIANAPOLIS, IN

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.

Highlighted states indicate IAR registrations

IAR

Indiana
(2/13/2012)

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

IAR

Series 65

Date: 1/11/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/16/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/31/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 11/16/1992

Investment Company Products/Variable Contracts Representative Examination

Current Firm

AUSTIN FINANCIAL STRATEGIES, INC.

CRD#: 160828 / SEC#:

Indiana

Registered Investment Advisory firm - (2/13/2012 Approved)

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Contact information

Main Address

5110 Commerce Square Dr Suite G, Indianapolis, IN 46237

Mailing Address

Phone number

(317) 889-1506

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	84
AUM (Assets Under Management)	$ 22,024,181

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.

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Firm Stability Insights

Gene R. Austin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gene Robert Austin's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRADINGBLOCK

ADIRONDACK TRADING GROUP LLC

CREATIVE FINANCIAL DESIGNS, INC.

CFD INVESTMENTS, INC.

ONEAMERICA SECURITIES, INC.

AMERICAN UNITED LIFE INSURANCE COMPANY

State Registrations and Notice Filings

Exams

Series 65

Date: 1/11/2012

Series 63

Date: 11/16/1992

SIE

Date: 12/31/2016

Series 6

Date: 11/16/1992

Current Firm

AUSTIN FINANCIAL STRATEGIES, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

AUSTIN FINANCIAL STRATEGIES, INC.

TRUST BUT VERIFY

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