Austin Brockenbrough Iv
Professional summary
Austin Brockenbrough Iv, who also goes by Austin Brockenbrough IV, Austin Brockenbrough, is a registered financial advisor currently at BROCKENBROUGH located in Richmond, Virginia.
Austin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Austin has worked at 3 firms and has passed the Series 63, Series 65, Series 6 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Austin Brockenbrough Iv's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 31, 2001 - Present
BROCKENBROUGH
Office #1: 1802 Bayberry Ct, Richmond, VA 23226December 18, 2006 - December 8, 2008
ULTIMUS FUND DISTRIBUTORS, LLC
May 10, 1993 - May 31, 1996
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
BROCKENBROUGH
CRD#: 105142 / SEC#: 801-6691
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(11/11/2016)
(5/31/2001)
Exams
Current Firm
BROCKENBROUGH
CRD#: 105142 / SEC#: 801-6691
Contact information
SEC notice filing (16 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,162 |
| AUM (Assets Under Management) | $ 5,442,429,889 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/24/2025 | ||
| 11/12/2024 | ||
| 10/26/2023 | ||
| 11/28/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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Company Information
BROCKENBROUGH
CRD#: 105142Richmond, VA 23226TRUST BUT VERIFY
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