Daniel P Austin | Financial Professional

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Daniel P Austin, who also goes by Daniel Patrick Austin, was a registered financial professional .

Daniel is a previously registered financial professional and started their career in finance in 1998. Daniel had worked at 10 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 52 exams.

Question & Answer

Are you a "fiduciary"?

No

Aliases

Daniel Patrick Austin

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 22, 2018 - October 22, 2019

SWBC INVESTMENT COMPANY

RIA

CRD#: 140994

Lansing, MI

Past

March 22, 2018 - October 22, 2019

SWBC INVESTMENT SERVICES, LLC

BD

CRD#: 133715

LANSING, MI

Past

September 5, 2017 - March 16, 2018

USA FINANCIAL SECURITIES LLC

RIA

CRD#: 103857

Lansing, MI

Past

September 5, 2017 - March 16, 2018

USA FINANCIAL SECURITIES LLC

BD

CRD#: 103857

Lansing, MI

Past

January 21, 2014 - January 5, 2017

USA FINANCIAL SECURITIES LLC

RIA

CRD#: 103857

LANSING, MI

Past

January 2, 2014 - January 5, 2017

USA FINANCIAL SECURITIES LLC

BD

CRD#: 103857

LANSING, MI

Past

November 23, 2011 - December 31, 2013

PLANMEMBER SECURITIES CORPORATION

RIA

CRD#: 11869

LANSING, MI

Past

November 21, 2011 - December 31, 2013

PLANMEMBER SECURITIES CORPORATION

BD

CRD#: 11869

LANSING, MI

Past

February 28, 2007 - November 19, 2011

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

BD

CRD#: 20472

EAST LANSING, MI

Past

September 23, 2004 - February 7, 2007

ALLSTATE FINANCIAL SERVICES, LLC

BD

CRD#: 18272

WILLIAMSTON, MI

Past

July 27, 2004 - September 15, 2004

IFMG SECURITIES, INC.

RIA

CRD#: 14416

OKEMOS, MI

Past

July 26, 2004 - September 15, 2004

IFMG SECURITIES, INC.

BD

CRD#: 14416

PURCHASE, NY

Past

July 25, 2003 - July 28, 2004

CETERA WEALTH SERVICES, LLC

BD

CRD#: 13572

EL SEGUNDO, CA

Past

March 5, 2002 - July 29, 2003

LASALLE FINANCIAL SERVICES, INC.

BD

CRD#: 20373

CHICAGO, IL

Past

August 21, 1998 - April 8, 2002

AMERIPRISE ADVISOR SERVICES, INC.

BD

CRD#: 5979

DETROIT, MI

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".

SI

SWBC INVESTMENT COMPANY

CRD#: 140994 / SEC#: 801-68054

RIA

Registered Investment Advisory firm - (6/25/2007 Approved)

Florida

Registered Investment Advisory firm - (12/26/2019 Terminated)

Texas

Registered Investment Advisory firm - (6/29/2007 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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

RR

IAR

Series 66

Date: 1/16/2014

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 3/31/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

RR

Series 63

Date: 8/24/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 7

Date: 10/13/1998

General Securities Representative Examination

General Industry/Product Exam

RR

Series 52

Date: 8/20/1998

Municipal Securities Representative Examination

Current Firm

SI

SWBC INVESTMENT COMPANY

CRD#: 140994 / SEC#: 801-68054

RIA

Registered Investment Advisory firm - (6/25/2007 Approved)

Florida

Registered Investment Advisory firm - (12/26/2019 Terminated)

Texas

Registered Investment Advisory firm - (6/29/2007 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

9311 San Pedro Avenue Suite 600, San Antonio, TX 78216-4459

Mailing Address

Phone number

(210) 376-3279

Established

Firm type

Fiscal year end

# of Employees

28

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SWBC INVESTMENT COMPANY WRAP PROGRAM (3/31/2025)

SWBC INVESTMENT COMPANY ADV SCHEDULE A PART 2 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	406
AUM (Assets Under Management)	$ 229,193,705

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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Advisor Monitoring

Firm Stability Insights

Daniel P. Austin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SWBC INVESTMENT SERVICES, LLC

USA FINANCIAL SECURITIES LLC

USA FINANCIAL SECURITIES LLC

USA FINANCIAL SECURITIES LLC

USA FINANCIAL SECURITIES LLC

PLANMEMBER SECURITIES CORPORATION

PLANMEMBER SECURITIES CORPORATION

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

ALLSTATE FINANCIAL SERVICES, LLC

IFMG SECURITIES, INC.

IFMG SECURITIES, INC.

CETERA WEALTH SERVICES, LLC

LASALLE FINANCIAL SERVICES, INC.

AMERIPRISE ADVISOR SERVICES, INC.

Primary Firm SEC Registration

SWBC INVESTMENT COMPANY

State Registrations and Notice Filings

Exams

Series 66

Date: 1/16/2014

Series 65

Date: 3/31/2003

Series 63

Date: 8/24/1998

SIE

Date: 10/1/2018

Series 7

Date: 10/13/1998

Series 52

Date: 8/20/1998

Current Firm

SWBC INVESTMENT COMPANY

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SWBC INVESTMENT COMPANY

TRUST BUT VERIFY

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