CA
Craig A. Austad
SAVVY
Denver, CO 80237
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CRD#: 2613731
CA
Professional summary
Craig Alan Austad, CFP®, CLU® is a registered financial advisor currently at SAVVY located in Denver, Colorado.
Craig is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Craig has worked at 8 firms and has passed the Series 66, SIE, Series 7 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) Flourish Financial Partners is a DBA that I use to market the investment and financial planning services that I provide. Started in Jan. 2016. I am the Managing Member of Flourish FP, LLC which is an entity for payroll and accounting for the investment and financial planning services offered by me. One hour per month on this activity, not investment related. (2) I hold an insurance license to sell limited insurance products. It is anticipated that a small portion, less than 10%, of my time will be spent providing these services. I may receive compensation from selling insurance products and therefore receive economic benefit for this activity. (3) President of the Tiffany Homeowners Association. Not investment related, and there is no compensation for serving on my community association. Estimate less than 3 hours per month spent on this activity.
CRS (Client Relationship Summary) - RIA
Click below to view Craig Alan Austad'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: 2005
Experience
Current
September 17, 2024 - Present
SAVVY
Office #1: 4600 S. Syracuse St. 9th Floor, Denver, CO 80237Office #2: Mailing Address Po Box 2361, Centennial, CO 80161RIA
CRD#: 318493
Denver, CO
Past
January 21, 2016 - December 4, 2024
DENVER PWM, LLC
RIA
CRD#: 171139
DENVER, CO
Past
January 20, 2016 - November 8, 2018
FFEC WEALTH PARTNERS LLC
BD
CRD#: 16507
DENVER, CO
Past
January 23, 2007 - April 30, 2007
NORTHWESTERN MUTUAL WEALTH MANAGEMENT COMPANY
RIA
CRD#: 109729
MILWAUKEE, WI
Past
November 24, 2003 - January 22, 2016
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
DENVER, CO
Past
April 3, 2003 - September 22, 2003
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
DENVER, CO
Past
February 20, 2003 - September 22, 2003
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
Past
July 11, 1996 - April 5, 2002
HIMCO DISTRIBUTION SERVICES COMPANY
BD
CRD#: 6604
HARTFORD, CT
Past
May 3, 1995 - June 14, 1996
WADDELL & REED
BD
CRD#: 866
OVERLAND PARK, KS
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".
SA
SAVVY
CEDAR + SEVENS WEALTH | WEALTH RETENTION | SULLIVAN FARR WEALTH ADVISORS | STANDING OAK ADVISORS | SAVVY WEALTH, INC. | SAVVY WEALTH | SAVVY ADVISORS, INC. | SAVVY | PRESTIQ WEALTH PARTNERS CORP | NINE FOUR WEALTH | MARKETWISE ASSET MANAGEMENT | KHOURY PRIVATE WEALTH | HARDY CAPITAL INVESTMENTS | FLOURISH FINANCIAL PARTNERS
CRD#: 318493 / SEC#: 801-123656
RIA
Registered Investment Advisory firm - (4/11/2022 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
Colorado(9/17/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
SA
SAVVY
CEDAR + SEVENS WEALTH | WEALTH RETENTION | SULLIVAN FARR WEALTH ADVISORS | STANDING OAK ADVISORS | SAVVY WEALTH, INC. | SAVVY WEALTH | SAVVY ADVISORS, INC. | SAVVY | PRESTIQ WEALTH PARTNERS CORP | NINE FOUR WEALTH | MARKETWISE ASSET MANAGEMENT | KHOURY PRIVATE WEALTH | HARDY CAPITAL INVESTMENTS | FLOURISH FINANCIAL PARTNERS
CRD#: 318493 / SEC#: 801-123656
RIA
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Contact information
Main Address
111 West 33rd Street Unit 1410, New York, NY 10001
Mailing Address
Phone number
(833) 745-6789
Established
Firm type
Fiscal year end
# of Employees
60
SEC notice filing (38 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,776 |
| AUM (Assets Under Management) | $ 1,295,318,161 |
Red Flags
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