KA
Kwami Austin
M1 ADVISORY
Aurora, CO
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CRD#: 5042437
KA
Kwami AustinM1 ADVISORY
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 53 and Series 24 exams.
Aliases
Kwami Sarome 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.
(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..
CRS (Client Relationship Summary) - RIA
Click below to view Kwami Austin'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®
NoneExperience
Current
March 18, 2026 - Present
M1 ADVISORY
RIA
CRD#: 249787
Aurora, CO
Current
March 19, 2026 - Present
M1 FINANCE LLC
BD
CRD#: 281242
Aurora, CO
Past
January 31, 2023 - November 19, 2024
ROBINHOOD SECURITIES, LLC
BD
CRD#: 287900
Denver, CO
Past
June 25, 2021 - November 19, 2024
ROBINHOOD FINANCIAL, LLC
BD
CRD#: 165998
Denver, CO
Past
May 30, 2008 - November 13, 2020
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
RIA
CRD#: 20472
DENVER, CO
Past
March 31, 2006 - November 13, 2020
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
BD
CRD#: 20472
DENVER, CO
Past
November 29, 2005 - March 23, 2006
T. ROWE PRICE INVESTMENT SERVICES, INC.
BD
CRD#: 8348
BALTIMORE, MD
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 - (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 them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
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)
Exams
What does exam status mean?
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Passed: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 6
Passed: 11/28/2005
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
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 - (8/11/2015 Approved)Loading...
Contact information
Main Address
200 North Lasalle Street Suite 810, Chicago, IL 60601
Mailing Address
Phone number
(312) 600-2883
Established
Firm type
Fiscal year end
# of Employees
14
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2 |
| AUM (Assets Under Management) | $ 633,573 |
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.
