DK
Dan Kraus
AUSTIN PRIVATE WEALTH
Austin, TX 78705
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CRD#: 2399787
DK
Professional summary
Dan Kraus, CFP® is a registered financial advisor currently at AUSTIN PRIVATE WEALTH, LLC located in Austin, Texas.
Dan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Dan has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 24 and Series 8 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.
8th Floor Properties, LLC; Manager/Officer; Property Owner/Manager; Not investment related; Jan 2015; 1-9 hours per month;1-9 during trading hours. 4th Floor Properties, LLC; Manager; Real estate ownership; Austin, TX 78705; Not investment related; Nov 2018; 1-9 hours per month; 0 during trading hours. Commercial property; Austin, TX 78705; Not investment related; Purchased Jan 2015. Commercial property; Corpus Christi, TX 78404; not investment related; purchased Nov 2018. Fiduciary Activities; Named or act in a fiduciary capacity for family member trust; such as attorney-in-fact, trustee, conservator, guardian, executor or personal representative; Liora K Stone & peter F Stone Irrevocable Living Trusts. LSB Properties, LLC; Investment related; 120 Madeira Drive NE Ste 220, Albuquerque, NM 87108; Property owner/manager - Real Estate; Member; 12/04/2021; 1 hour per month; 0 during trading hours; arranges financing for family investment.
CRS (Client Relationship Summary) - RIA
Click below to view Dan Kraus'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: 2009
Experience
Current
July 18, 2019 - Present
AUSTIN PRIVATE WEALTH, LLC
Office #1: 3108 N Lamar Boulevard Suite B100, Austin, TX 78705RIA
CRD#: 304344
Austin, TX
Past
July 20, 2004 - July 22, 2019
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
Corpus Christi, TX
Past
March 7, 2001 - July 3, 2006
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
March 7, 2001 - July 22, 2019
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
Corpus Christi, TX
Past
September 17, 1993 - June 16, 2000
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SMITHFIELD, RI
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".
AUSTIN PRIVATE WEALTH, LLC
AUSTIN PRIVATE WEALTH | NOKI GROUP, LLC | AUSTIN PRIVATE WEALTH, LLC
CRD#: 304344 / SEC#: 801-116987
RIA
Registered Investment Advisory firm - (7/18/2019 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.Highlighted states indicate IAR registrations
IAR
Texas(7/18/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 8/5/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
AUSTIN PRIVATE WEALTH, LLC
AUSTIN PRIVATE WEALTH | NOKI GROUP, LLC | AUSTIN PRIVATE WEALTH, LLC
CRD#: 304344 / SEC#: 801-116987
RIA
Registered Investment Advisory firm - (7/18/2019 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
3108 N Lamar Boulevard Suite B100, Austin, TX 78705
Mailing Address
Phone number
(512) 886-4114
Established
Firm type
Fiscal year end
# of Employees
27
SEC notice filing (25 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,781 |
| AUM (Assets Under Management) | $ 1,331,171,818 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
