AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
KA

Kwami Austin

M1 FINANCE
Aurora, CO
Some features on this profile are disabled
CRD#: 5042437
KA

Professional summary

Kwami Austin, who also goes by Kwami Sarome Austin, is a registered financial advisor currently at M1 FINANCE 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.

Question & Answer

Are you a "fiduciary"?
Yes

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kwami Austin'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

March 18, 2026 - Present

M1 FINANCE

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".
MF
M1 FINANCE
FORZA ADVISORS GROUP LLC | M1 FINANCE | M1 ADVISORY SERVICES LLC

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

State Security Law Exam
IAR
Series 65
Date: 11/13/2025
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/28/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/17/2008
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 11/28/2005
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 3/28/2014
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 12/4/2013
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/5/2013
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

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

CRD#: 249787 / SEC#: 801-106511

RIA
Registered Investment Advisory firm - (8/11/2015 Approved)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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
17

SEC notice filing (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

M1 ADVISORY SERVICES (3/11/2025)

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.

Company Information

M1 FINANCE

CRD#: 249787Aurora, CO

TRUST BUT VERIFY

Monitor Kwami Austin

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Guy David Peel
Guy PeelAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Helena, MT
Mark Brown
Mark BrownAdvisorCheck Check Mark
AUSDAL FINANCIAL PARTNERS, INC.
IAR
RR
Estero, FL
Jeffrey Paul Meotti
Jeffrey MeottiAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
MADISON, CT
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.