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Austin Hamilton

BTIG

SAN FRANCISCO, CA

·CRD# 2592315·31 years experience

Professional Summary

Austin Hamilton, who also goes by Austin Francis Hamilton, is a registered financial advisor currently at BTIG, LLC located in San Francisco, California. Austin is registered as a RR (Registered Representative) and started their career in finance in 1995. Austin has worked at 8 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 87, Series 3, Series 55, Series 7, Series 10, Series 9, Series 4, Series 14, Series 8 and...

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Austin Francis Hamilton

Blog Corner

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

What Are Financial Values and How to Align Them With Your Financial Goals

What Are Financial Values and How to Align Them With Your Financial Goals

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

31 years in the financial services industry

Current & Past Employments

BTIG, LLC·CRD# 122225

BD

1. 350 Bush Street 9th Floor, San Francisco, CA 941042. 350 Bush Street 9th Floor, San Francisco, CA 94104

June 11, 2008 - Present

BAYRIDGE SECURITIES, LLC·CRD# 155765

BD

San Francisco, CA

June 3, 2011 - May 8, 2026

THOMAS WEISEL PARTNERS LLC·CRD# 46237

BD

San Francisco, CA

November 14, 2005 - July 10, 2008

CHARLES SCHWAB & CO., INC.·CRD# 5393

BD

Westlake, TX

August 16, 2005 - November 30, 2005

THOMAS WEISEL PARTNERS LLC·CRD# 46237

BD

San Francisco, CA

March 6, 2000 - August 11, 2005

BANC OF AMERICA SECURITIES LLC·CRD# 26091

BD

New York, NY

October 1, 1997 - February 28, 2000

MONTGOMERY SECURITIES·CRD# 4357

BD

San Francisco, CA

February 13, 1997 - October 1, 1997

BANCAMERICA SECURITIES, INC.·CRD# 17977

BD

San Francisco, CA

May 12, 1995 - January 31, 1997

GOLDMAN SACHS & CO. LLC·CRD# 361

BD

New York, NY

March 8, 1995 - April 20, 1995

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Current Firm

BL

BTIG, LLC

BASS TRADING, LLC | BTIG, LLC | BTIG ELECTRONIC TRADING | BAYPOINT TRADING, LLC

CRD#: 122225 / SEC#: 8-65473

BD

Broker-Dealer Firm Regulated by FINRA (San Francisco district office)

Contact Information

Main Address

350 Bush Street 9th Floor, San Francisco, CA 94104

Mailing Address

350 Bush Street 9th Floor, San Francisco, CA 94104

Phone Number

(415) 248-2200

Established

Delaware since 06/05/2002

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Large

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
CONDOR TRADING LP	MANAGER/MEMBER	—
CZEPIEL, KYLE ROBERT	CHIEF OPERATING OFFICER	2360785
ENDRES, BRIAN KENNETH	CFO/FINOP/PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER	2673131
HAMILTON, AUSTIN	CHIEF COMPLIANCE OFFICER	2592315
LEROY, ANTON MAURICE	CHIEF EXECUTIVE OFFICER	2862204

Disclosures

Regulatory Event

12

Civil Event

1

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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.

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State Registrations and Notice Filings

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

RR

indicates the advisor is registered as a Registered Representative in this state, allowing securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

RR

California
(6/11/2008)

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Mar 1997About the Series 63 exam

Series 99TO — Operations Professional Examination

Passed Jan 2023About the Series 99TO exam

Series 57TO — Securities Trader Exam

Passed Jan 2023About the Series 57TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 87 — Research Analyst Exam - Part II Regulations Module

Passed Feb 2010About the Series 87 exam

Series 3 — National Commodity Futures Examination

Passed Jan 2004About the Series 3 exam

Series 55 — Limited Representative-Equity Trader Exam

Passed Dec 2002

Series 7 — General Securities Representative Examination

Passed Mar 1995About the Series 7 exam

Series 10 — General Securities Sales Supervisor - General Module Examination

Passed Jan 2023About the Series 10 exam

Series 9 — General Securities Sales Supervisor - Options Module Examination

Passed Jan 2023About the Series 9 exam

Series 4 — Registered Options Principal Examination

Passed Aug 2000About the Series 4 exam

Series 14 — Compliance Officer Examination

Passed May 2000About the Series 14 exam

Series 8 — General Securities Sales Supervisor Examination (Options Module & General Module)

Passed May 1999

Series 24 — General Securities Principal Examination

Passed Nov 1998About the Series 24 exam

Cboe BYX Exchange, Inc.

SRO Registrations

Cboe BZX Exchange, Inc.

SRO Registrations

Cboe EDGA Exchange, Inc.

SRO Registrations

Cboe EDGX Exchange, Inc.

SRO Registrations

Cboe Exchange, Inc.

SRO Registrations

FINRA

SRO Registrations

Investors' Exchange LLC

SRO Registrations

MEMX LLC

SRO Registrations

NYSE Arca, Inc.

SRO Registrations

Nasdaq ISE, LLC

SRO Registrations

Nasdaq Stock Market

SRO Registrations

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CRS (Client Relationship Summary) - BD

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

CRS (Customer Relationship Summary)

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AH

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