Kevin X. Smith

AUSTIN WEALTH MANAGEMENT

AUSTIN, TX 78756

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CRD#: 4762177

Professional summary

Kevin Xavier Smith is a registered financial advisor currently at AUSTIN WEALTH MANAGEMENT, LLC located in Austin, Texas and PURSHE KAPLAN STERLING INVESTMENTS located in Austin, Texas.

Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Kevin has worked at 6 firms and has passed the Series 66, Series 99TO, SIE and Series 7 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. AUSTIN WEALTH MANAGEMENT, LLC, At Registered Branch Office Location. RIA, 10/2014-PRESENT. 160 HRS/MONTH, 120 HRS/ DURING TRADING. MANAGING PRINCIPLE, MANAGES BUSINESS OPERATIONS AND PROVIDES FINANCIAL ADVICE TO CLIENTS. 2. INDEPENDENT LIFE, DISABILITY, AND LONG TERM CARE INSURANCE BROKER. At Registered Branch Office Location. 2010-PRESENT. 16 HRS/MONTH DURING TRADING.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Xavier Smith's CRS (Customer Relationship Summary).

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®

None

Experience

Current

September 25, 2014 - Present

AUSTIN WEALTH MANAGEMENT, LLC

Office #1: 5209 Burnet Road Ste. 210, Austin, TX 78756

RIA

CRD#: 172793

AUSTIN, TX

Current

October 16, 2014 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 7001 Burnet Road Suite 300, Austin, TX 78757

CRD#: 35747

Austin, TX

Past

November 22, 2011 - October 17, 2014

TRIAD ADVISORS LLC

RIA

CRD#: 25803

AUSTIN, TX

Past

November 11, 2011 - October 17, 2014

TRIAD ADVISORS LLC

CRD#: 25803

AUSTIN, TX

Past

August 10, 2009 - December 9, 2011

J. W. COLE ADVISORS, INC.

RIA

CRD#: 112294

AUSTIN, TX

Past

August 10, 2009 - December 9, 2011

J.W. COLE FINANCIAL, INC.

CRD#: 124583

AUSTIN, TX

Past

August 17, 2004 - August 5, 2009

KESTRA INVESTMENT SERVICES, LLC

RIA

CRD#: 42046

AUSTIN, TX

Past

April 5, 2004 - August 5, 2009

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

AUSTIN, TX

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 WEALTH MANAGEMENT, LLC

AUSTIN WEALTH MANAGEMENT, LLC | JMH WEALTH MANAGEMENT, LLC

CRD#: 172793 / SEC#: 801-117954

RIA

Registered Investment Advisory firm - (1/13/2020 Approved)

Louisiana

Registered Investment Advisory firm - (1/21/2020 Terminated)

Texas

Registered Investment Advisory firm - (1/15/2020 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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Alabama
(10/3/2022)

California
(1/9/2017)

Colorado
(9/20/2023)

Kentucky
(7/5/2022)

North Carolina
(9/12/2016)

Tennessee
(3/23/2022)

IAR

Texas
(9/25/2014)

Texas
(10/16/2014)

Wisconsin
(2/3/2016)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/13/2004

Uniform Combined State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/2/2004

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

AUSTIN WEALTH MANAGEMENT, LLC

AUSTIN WEALTH MANAGEMENT, LLC | JMH WEALTH MANAGEMENT, LLC

CRD#: 172793 / SEC#: 801-117954

RIA

Registered Investment Advisory firm - (1/13/2020 Approved)

Louisiana

Registered Investment Advisory firm - (1/21/2020 Terminated)

Texas

Registered Investment Advisory firm - (1/15/2020 Terminated)

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Contact information

Main Address

5209 Burnet Road Ste. 210, Austin, TX 78756

Mailing Address

Phone number

(512) 467-2000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AWM FORM ADV PART 2A (10/23/2025)

Regulatory assets under management

Total Number of Accounts	2,671
AUM (Assets Under Management)	$ 766,414,063

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

Kevin X. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Xavier Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

TRIAD ADVISORS LLC

TRIAD ADVISORS LLC

J. W. COLE ADVISORS, INC.

J.W. COLE FINANCIAL, INC.

KESTRA INVESTMENT SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

AUSTIN WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/13/2004

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 4/2/2004

FINRA

Current Firm

AUSTIN WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

AUSTIN WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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