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KA

Kwami Austin

M1 ADVISORY

Aurora, CO

·CRD# 5042437·21 years experience

About Kwami

Disclosures

Contact

Videos & Posts

Professional Background

Firm Detail

Other Business Activities

More

Professional Summary

Kwami Austin, who also goes by Kwami Sarome Austin, is a registered financial advisor currently at M1 ADVISORY located in Aurora, Colorado and M1 FINANCE LLC located in Aurora, Colorado. Kwami is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Kwami has worked at 6 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 6, Series 4, Series...

At a Glance

Advisory Accounts Only

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Kwami Sarome Austin

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

21 years in the financial services industry

Current & Past Employments

Current

M1 ADVISORYCurrent·CRD# 249787

RIA

Aurora, CO

March 18, 2026 - Present

M1 FINANCE LLCCurrent·CRD# 281242

BD

Aurora, CO

March 19, 2026 - Present

Past

ROBINHOOD SECURITIES, LLCPast·CRD# 287900

BD

Denver, CO

January 31, 2023 - November 19, 2024

ROBINHOOD FINANCIAL, LLCPast·CRD# 165998

BD

Denver, CO

June 25, 2021 - November 19, 2024

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLCPast·CRD# 20472

RIA

Denver, CO

May 30, 2008 - November 13, 2020

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLCPast·CRD# 20472

BD

Denver, CO

March 31, 2006 - November 13, 2020

T. ROWE PRICE INVESTMENT SERVICES, INC.Past·CRD# 8348

BD

Baltimore, MD

November 29, 2005 - March 23, 2006

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Current Firm

MA

M1 ADVISORY

FORZA ADVISORS GROUP LLC | M1 FINANCE | M1 ADVISORY SERVICES LLC | M1 ADVISORY

CRD#: 249787 / SEC#: 801-106511

RIA

Registered Investment Advisory firm - SEC (8/11/2015 Approved)

Contact Information

Main Address

200 North Lasalle Street Suite 810, Chicago, IL 60601

Phone Number

(312) 600-2883

# of Employees

14

SEC notice filing (53 States and Territories)

Registered to provide investment advisory services in 53 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

M1 ADVISORY SERVICES (9/29/2026)

Regulatory Assets Under Management

Total Number of Accounts

11,400

AUM (Assets Under Management)

$1,480,000,000

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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) 4025 RUSKIN WAY LLC POSITION: Owner NATURE: Investor INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 11/01/2017 ADDRESS: Home Address, Aurora CO 80017, United States DESCRIPTION: Real estate investments. |

(2) 4 Layer Publishing Position: Publishing, Investment Related: No, Number of Hours: 0 Description: Publishing books on amazon, ranging from education, cross words, coloring books, etc..

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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".

MA

M1 ADVISORY

FORZA ADVISORS GROUP LLC | M1 FINANCE | M1 ADVISORY SERVICES LLC | M1 ADVISORY

CRD#: 249787 / SEC#: 801-106511

RIA

Registered Investment Advisory firm - SEC (8/11/2015 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.

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

Alabama
(3/19/2026)

RR

Alaska
(3/19/2026)

RR

Arizona
(3/19/2026)

RR

Arkansas
(3/19/2026)

RR

California
(3/19/2026)

RR

Colorado
(3/19/2026)

RR

Connecticut
(3/19/2026)

RR

Delaware
(3/19/2026)

RR

District of Columbia
(3/19/2026)

RR

Florida
(3/19/2026)

RR

Georgia
(3/19/2026)

RR

Hawaii
(3/19/2026)

RR

Idaho
(3/19/2026)

IAR

Illinois
(3/18/2026)

RR

Illinois
(3/19/2026)

RR

Indiana
(3/19/2026)

RR

Iowa
(3/19/2026)

RR

Kansas
(3/19/2026)

RR

Kentucky
(3/19/2026)

RR

Louisiana
(3/19/2026)

RR

Maine
(3/19/2026)

RR

Maryland
(3/19/2026)

RR

Massachusetts
(3/19/2026)

RR

Michigan
(3/19/2026)

RR

Minnesota
(3/19/2026)

RR

Mississippi
(3/19/2026)

RR

Missouri
(3/19/2026)

RR

Montana
(3/19/2026)

RR

Nebraska
(3/19/2026)

RR

Nevada
(3/19/2026)

RR

New Hampshire
(3/19/2026)

RR

New Jersey
(3/19/2026)

RR

New Mexico
(3/19/2026)

RR

New York
(3/19/2026)

RR

North Carolina
(3/19/2026)

RR

North Dakota
(3/19/2026)

RR

Ohio
(3/20/2026)

RR

Oklahoma
(3/19/2026)

RR

Oregon
(3/19/2026)

RR

Pennsylvania
(3/19/2026)

RR

Puerto Rico
(3/19/2026)

RR

Rhode Island
(3/19/2026)

RR

South Carolina
(3/19/2026)

RR

South Dakota
(3/19/2026)

RR

Tennessee
(3/19/2026)

RR

Texas
(3/19/2026)

RR

Utah
(3/19/2026)

RR

Vermont
(3/19/2026)

RR

Virgin Islands
(3/19/2026)

RR

Virginia
(3/19/2026)

RR

Washington
(3/19/2026)

RR

West Virginia
(3/19/2026)

RR

Wisconsin
(3/19/2026)

RR

Wyoming
(3/19/2026)

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

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

Series 65 — Uniform Investment Adviser Law Examination

Passed Nov 2025About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Dec 2005About the Series 63 exam

Series 52TO — Municipal Securities Representative Examination

Passed Jan 2023About the Series 52TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Jan 2008About the Series 7 exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Nov 2005About the Series 6 exam

Series 4 — Registered Options Principal Examination

Passed Mar 2014About the Series 4 exam

Series 53 — Municipal Securities Principal Examination

Passed Dec 2013About the Series 53 exam

Series 24 — General Securities Principal Examination

Passed Jul 2013About the Series 24 exam

FINRA

SRO Registrations

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CRS (Client Relationship Summary) - RIA

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

CRS (Customer Relationship Summary)

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