DA
Dorothy A. Austgen
ELEY-GRAHAM-AUSTGEN FINANCIAL ADVISORY SERVICES
Crown Point, IN 46307
Some features on this profile are disabled
CRD#: 3263405
DA
Professional summary
Dorothy Ann Austgen, CFP®, who also goes by Dorothy Boehm, Dorothy Ann Nied, is a registered financial advisor currently at ELEY-GRAHAM-AUSTGEN FINANCIAL ADVISORY SERVICES located in Crown Point, Indiana and CSENGE ADVISORY GROUP, LLC located in Crown Point, Indiana.
Dorothy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Dorothy has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 51 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dorothy Boehm | Dorothy Ann Nied
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) PREMIER PROPERTY INVESTMENTS, LLC POSITION: Owner NATURE: Manage Real Estate INVESTMENT RELATED: Yes NUMBER OF HOURS: 65 SECURITIES TRADING HOURS: 5 START DATE: 09/01/2005 ADDRESS: 130 N. Main Street, Crown Point IN 46307, United States DESCRIPTION: Manage Apartment Community, collect rent, manage books, show apartment units. 2) CROWN REAL ESTATE GROUP, LLC POSITION: Owner NATURE: Sale of residential and commercial property, property management, Realtor, rental property. INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 09/18/2018 ADDRESS: 130 N. Main Street, Crown Point IN 46307, United States DESCRIPTION: Property Management, Realtor, Rental Property. 3) CSENGE ADVISORY GROUP POSITION: Investment Advisor Representative NATURE: Fee based investment management business. INVESTMENT RELATED: Yes NUMBER OF HOURS: 240 SECURITIES TRADING HOURS: 140 START DATE: 05/10/2021 ADDRESS: 4755 E. Bay Drive, Clearwater FL 33764, United States DESCRIPTION: Provide investment advice and comprehensive financial planning to individuals. 4) DOROTHY A. AUSTGEN, INSURANCE POSITION: Sole Proprietorship NATURE: Sell life insurance, disability insurance, and long term care insurance. INVESTMENT RELATED: Yes NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 15 START DATE: 06/01/2010 ADDRESS: 2100 N MAIN ST STE 202, CROWN POINT IN 46307, United States DESCRIPTION: Sell life insurance, disability insurance and long term care insurance. 5) ELEY GRAHAM ADVISORY CORPORATION DBA ELEY-GRAHAM-AUSTGEN FINANCIAL ADVISORY SERVICES POSITION: Owner NATURE: Financial Planning INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 01/01/2009 ADDRESS: 2100 N MAIN ST STE 202, CROWN POINT IN 46307, United States DESCRIPTION: Review Financial Planning Reports, provide recommendations and other client financial analyses. 6) ELEY-GRAHAM-AUSTGEN FINANCIAL ADVISORY SERVICES POSITION: Owner NATURE: Provide investment advice INVESTMENT RELATED: Yes NUMBER OF HOURS: 240 SECURITIES TRADING HOURS: 240 START DATE: 12/18/2019 ADDRESS: 2100 N MAIN ST STE 202, CROWN POINT IN 46307, United States DESCRIPTION: Owner, Investment Advisor, CFP
CRS (Client Relationship Summary) - RIA
Click below to view Dorothy Ann Austgen'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 31, 2008 - Present
ELEY-GRAHAM-AUSTGEN FINANCIAL ADVISORY SERVICES
Office #1: 2100 N. Main Street, Suite 202, Crown Point, IN 46307RIA
CRD#: 121635
Crown Point, IN
Current
May 10, 2021 - Present
CSENGE ADVISORY GROUP, LLC
Office #1: One Professional Center 2100 N. Maine St. Suite #202, Crown Point, IN 46307RIA
CRD#: 131167
Crown Point, IN
Current
November 3, 2025 - Present
INTEGRITY ALLIANCE, LLC.
Office #1: 2100 N. Main St Suite 202, Crown Point, IN 46307RIA
BD
CRD#: 139627
Crown Point, IN
Past
April 30, 2021 - November 3, 2025
LION STREET FINANCIAL, LLC
BD
CRD#: 165828
Crown Point, IN
Past
April 7, 2008 - May 4, 2021
FSC SECURITIES CORPORATION
RIA
CRD#: 7461
MERRILLVILLE, IN
Past
August 13, 1999 - May 4, 2021
FSC SECURITIES CORPORATION
BD
CRD#: 7461
MERRILLVILLE, IN
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".
CA
CSENGE ADVISORY GROUP, LLC
ACUMEN3 | WEBB FINANCIAL CONSULTANTS | WEALTH TRANSFER CONSULTANTS | WEALTH STRATEGIES | WAYFINDER WEALTH | WAKEFIELD VENTURE GROUP | VERITY FINANCIAL | SAPERS & WALLACK | RADIAN PARTNERS | POLARIS WEALTH MANAGEMENT | POLARIS ADVICE | PENNJERDEL INSURANCE CONSULTANTS, INC. | PARK SQUARE FINANCIAL GROUP, LLC | PARESHAH PARTNERS LLC | PARAGON PARTNERS, LLC | PARAGON PARTNERS | NAVITAS WEALTH ADVISORS | MORRISON WEALTH ADVISORS | MAIN LINE FINANCIAL ADVISORS | JK JONES FINANCIAL | J. ROBERTS CAPITAL, INC. | INVESTMENT PLANNING & MANAGEMENT | IMPACT WEALTH ADVISORS | HOSTETLER FINANCIAL, LLC | HIGHRIDGE ADVISORY | HESS-SEGAL | FINANCIAL SUCCESS STRATEGIES, LLC | FIDELIS FINANCIAL STRATEGIES | ELEY-GRAHAM-AUSTGEN | DRAPER FINANCIAL GROUP | DESTINY FINANCIAL GROUP | DECIMA WEALTH CONSULTING | DALAL CAPITAL | CSENGE ADVISORY GROUP, LLC | CORLEY & KENT, LLC | CONNECT ADVISORY GROUP | COMPASS ADVISORY PARTNERS LLC | COLTER-DENNIS | CINDER WEALTH ADVISORS | CASSIDY & COMPANY | CANNON, CLARK HOLMAN & ASSOCIATES | ATHENIAN PRIVATE CLIENT GROUP
CRD#: 131167 / SEC#: 801-72792
RIA
Registered Investment Advisory firm - (10/13/2011 Approved)Florida
Registered Investment Advisory firm - (11/8/2011 Terminated)Texas
Registered Investment Advisory firm - (11/15/2007 Terminated)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(11/3/2025)
RR
Alaska(11/3/2025)
RR
Arizona(11/3/2025)
RR
Arkansas(11/3/2025)
RR
California(11/3/2025)
RR
Colorado(11/3/2025)
RR
Florida(11/4/2025)
RR
Georgia(11/3/2025)
IAR
Illinois(7/31/2008)
RR
Illinois(11/3/2025)
IAR
Indiana(7/31/2008)
RR
Indiana(11/3/2025)
RR
Kentucky(11/3/2025)
RR
Maryland(11/3/2025)
RR
Michigan(11/3/2025)
RR
Minnesota(11/3/2025)
RR
New York(11/12/2025)
RR
North Carolina(11/3/2025)
RR
Ohio(11/3/2025)
RR
Pennsylvania(11/3/2025)
RR
South Dakota(11/3/2025)
RR
Tennessee(11/3/2025)
IAR
Texas(8/15/2024)
RR
Texas(11/3/2025)
RR
Virginia(11/3/2025)
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
SRO Registrations
RR
FINRA
Current Firm
CA
CSENGE ADVISORY GROUP, LLC
ACUMEN3 | WEBB FINANCIAL CONSULTANTS | WEALTH TRANSFER CONSULTANTS | WEALTH STRATEGIES | WAYFINDER WEALTH | WAKEFIELD VENTURE GROUP | VERITY FINANCIAL | SAPERS & WALLACK | RADIAN PARTNERS | POLARIS WEALTH MANAGEMENT | POLARIS ADVICE | PENNJERDEL INSURANCE CONSULTANTS, INC. | PARK SQUARE FINANCIAL GROUP, LLC | PARESHAH PARTNERS LLC | PARAGON PARTNERS, LLC | PARAGON PARTNERS | NAVITAS WEALTH ADVISORS | MORRISON WEALTH ADVISORS | MAIN LINE FINANCIAL ADVISORS | JK JONES FINANCIAL | J. ROBERTS CAPITAL, INC. | INVESTMENT PLANNING & MANAGEMENT | IMPACT WEALTH ADVISORS | HOSTETLER FINANCIAL, LLC | HIGHRIDGE ADVISORY | HESS-SEGAL | FINANCIAL SUCCESS STRATEGIES, LLC | FIDELIS FINANCIAL STRATEGIES | ELEY-GRAHAM-AUSTGEN | DRAPER FINANCIAL GROUP | DESTINY FINANCIAL GROUP | DECIMA WEALTH CONSULTING | DALAL CAPITAL | CSENGE ADVISORY GROUP, LLC | CORLEY & KENT, LLC | CONNECT ADVISORY GROUP | COMPASS ADVISORY PARTNERS LLC | COLTER-DENNIS | CINDER WEALTH ADVISORS | CASSIDY & COMPANY | CANNON, CLARK HOLMAN & ASSOCIATES | ATHENIAN PRIVATE CLIENT GROUP
CRD#: 131167 / SEC#: 801-72792
RIA
Registered Investment Advisory firm - (10/13/2011 Approved)Florida
Registered Investment Advisory firm - (11/8/2011 Terminated)Texas
Registered Investment Advisory firm - (11/15/2007 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
4755 East Bay Drive, Clearwater, FL 33764
Mailing Address
Phone number
(727) 437-6000
Established
Firm type
Fiscal year end
# of Employees
79
SEC notice filing (45 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 14,643 |
| AUM (Assets Under Management) | $ 2,882,684,461 |
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.
