GA
Guy L. Austin
PFG ADVISORS
Tempe, AZ 85283
Some features on this profile are disabled
CRD#: 5192959
GA
Professional summary
Guy L. Austin, CFP®, who also goes by Guy Lincoln Austin, is a registered financial advisor currently at PFG ADVISORS located in Tempe, Arizona.
Guy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Guy has worked at 7 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Guy Lincoln 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.
Name: PFG Advisors Position: Financial Advisor Nature: Advisory Business Investment Related: No Hours: 20 Securities Trading Hours: 80 Start Date: 04/22/2015 Address: 16150 N Arrowhead Fountain Center Drive, Suite 289, Peoria AZ 85382, United States Description: I am a financial advisor on the RIA platform Name: TruWest Credit Union Position: Financial Advisor Nature: I work at TruWest Credit Union Investment Related: No Hours: 10 Securities Trading Hours: 0 Start Date: 04/22/2015 Address: 6550 E Superstition Springs Blvd, Mesa AZ 85206, United States Description: I work at the Credit Union but do not sell CU products Name: TruWest Wealth Management Services Position: Sales Nature: I provide Insurance products such as Life Insurance, Disability Income, Variable Life and Long Term Care Investment Related: Yes Hours: 5 Securities Trading Hours: 0 Start Date: 10/15/2017 Address: 6550 E Superstition Springs Blvd, Mesa AZ 85206, United States Description: I sell Insurance products. Some products such as annuities as investment related. TruWest Wealth Management Services- DBA
CRS (Client Relationship Summary) - RIA
Click below to view Guy L. 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®
CFP®
Start date: 2014
Experience
Current
May 7, 2015 - Present
PFG ADVISORS
Office #1: 2190 W. Elliot Road Suite 310, Tempe, AZ 85283RIA
CRD#: 173344
Tempe, AZ
Past
June 14, 2024 - January 21, 2025
OSAIC WEALTH, INC.
BD
CRD#: 23131
TEMPE, AZ
Past
October 10, 2017 - June 14, 2024
SECURITIES AMERICA, INC.
BD
CRD#: 10205
MESA, AZ
Past
April 20, 2015 - October 11, 2017
LPL FINANCIAL LLC
BD
CRD#: 6413
MESA, AZ
Past
March 17, 2009 - April 21, 2015
EDWARD JONES
RIA
CRD#: 250
TEMPE, AZ
Past
March 16, 2009 - April 21, 2015
EDWARD JONES
BD
CRD#: 250
TEMPE, AZ
Past
March 28, 2008 - March 17, 2009
MM ASCEND LIFE INVESTOR SERVICES, LLC
BD
CRD#: 36451
JOHNSON CITY, TN
Past
November 27, 2006 - March 16, 2009
INTERACTIVE FINANCIAL ADVISORS
RIA
CRD#: 125117
JOHNSON CITY, TN
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".
PA
PFG ADVISORS
4 CORNERS (CUE FINANCIAL GROUP) | WEBB FINANCIAL ADVISORS | WEALTH MANAGEMENT GROUP | UNITED PRAIRIE FINANCIAL NETWORK | UFG GROUP | TURNING POINTE WEALTH MANAGEMENT | TUCSON OLD PUEBLO WEALTH MANAGEMENT | TRUWEST WEALTH MANAGEMENT SERVICES | TRUE COMPASS FINANCIAL | TROJAN WEALTH MANAGEMENT | THUNDERBIRD WEALTH MANAGEMENT | STATE ECU WEALTH PLANNING | STARLIFTER WEALTH MANAGEMENT | STANFORD FEDERAL INVESTMENT SERVICES | SOMMER INVESTMENTS | SCOTT HANISH LLC | SATTLER PENSION AND WEALTH MANAGEMENT | RORBACH FINANCIAL SERVICES | ROCHA WEALTH ADVISORS | RETIREADY ADVISORS | REACH INVESTMENT SERVICES | PRIORITY FINANCIAL PARTNERS, LLC | PRIORITY FINANCIAL PARTNERS | PINNACLE SOUTHWEST SECURITIES & INVESTMENTS, CO | PINAL COUNTY FINANCIAL SERVICES | PHOCUS RETIREMENT SERVICES | PHOCUS FINANCIAL STRATEGIES GROUP | PFG ADVISORS, LLC | PFG ADVISORS | PFG (PEORIA) | OCCU INVESTMENT SERVICES | MY POINT | MORROW FINANCIAL GROUP | MISSION CITY INVESTMENT SERVICES | MILLER WEALTH MANAGEMENT, INC. | MILES BROWN ASSET MANAGEMENT | MANSELL CAPITAL MANAGEMENT | MANGUS WEALTH MANAGEMENT | LPL SUNNYVALE | LONESTAR WEALTH MANAGEMENT | LONE STAR INVESTMENT SOLUTIONS | LBW INSURANCE & FINANCIAL SERVICES | LANDINGS FINANCIAL SERVICES | KLEVENS CAPITAL MANAGEMENT, INC. | KEYPOINT FINANCIAL SERVICES | KALINA WEALTH ADVISORS | JUDD WEALTH MANAGEMENT | JAMES MERKEL (PYRAMID FCU) | INTEGRO WEALTH MANAGEMENT | IHN FAMILY LEGACY PLANNING, INC. | IDAHO CENTRAL WEALTH MANAGEMENT | GAVAGAN FINANCIAL SERVICES | FORTHRIGHT FINANCIAL SERVICES | FIRST SERVICE WEALTH MANAGEMENT | FINANCIAL SERVICES AT FMFCU | ELEVATE WEALTH | EAGLE WEALTH MANAGEMENT | DIAMOND FINANCIAL PLANNING | DEER VALLEY FINANCIAL SERVICES | DAVIS FINANCIAL MANAGEMENT | CUE FINANCIAL GROUP | COUNTY FEDERAL WEALTH MANAGEMENT | CORNERSTONE ASSET MANAGEMENT (CORNERSTONE WEALTH MANAGEMENT) | COPPER STATE WEALTH MANAGEMENT | CHABOT FINANCIAL SERVICES | CANYON STATE WEALTH MANAGEMENT SERVICES | CANO CAPITAL MANAGEMENT, LLC | CALIFORNIA COAST FINANCIAL SERVICES | BLUPEAK INVESTMENT SERVICES | BATIE & CO CAPITAL MGMT LLC | ASCENSION COLLEGE PLANNING | APRICITY WEALTH MANAGEMENT | ANTHEA WEALTH MANAGEMENT | ALTIER INVESTMENTS AND FINANCIAL PLANNING | ALTIER INVESTMENT SERVICES | AERO INVESTMENT SERVICES | A.I.R.E FINANCIAL | A. M. GUIDANCE & FINANCIAL SERVICES CONSULTING LLC
CRD#: 173344 / SEC#: 801-80797
RIA
Registered Investment Advisory firm - (12/1/2014 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.Highlighted states indicate IAR registrations
IAR
Arizona(5/7/2015)
IAR
Texas(11/14/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
PA
PFG ADVISORS
4 CORNERS (CUE FINANCIAL GROUP) | WEBB FINANCIAL ADVISORS | WEALTH MANAGEMENT GROUP | UNITED PRAIRIE FINANCIAL NETWORK | UFG GROUP | TURNING POINTE WEALTH MANAGEMENT | TUCSON OLD PUEBLO WEALTH MANAGEMENT | TRUWEST WEALTH MANAGEMENT SERVICES | TRUE COMPASS FINANCIAL | TROJAN WEALTH MANAGEMENT | THUNDERBIRD WEALTH MANAGEMENT | STATE ECU WEALTH PLANNING | STARLIFTER WEALTH MANAGEMENT | STANFORD FEDERAL INVESTMENT SERVICES | SOMMER INVESTMENTS | SCOTT HANISH LLC | SATTLER PENSION AND WEALTH MANAGEMENT | RORBACH FINANCIAL SERVICES | ROCHA WEALTH ADVISORS | RETIREADY ADVISORS | REACH INVESTMENT SERVICES | PRIORITY FINANCIAL PARTNERS, LLC | PRIORITY FINANCIAL PARTNERS | PINNACLE SOUTHWEST SECURITIES & INVESTMENTS, CO | PINAL COUNTY FINANCIAL SERVICES | PHOCUS RETIREMENT SERVICES | PHOCUS FINANCIAL STRATEGIES GROUP | PFG ADVISORS, LLC | PFG ADVISORS | PFG (PEORIA) | OCCU INVESTMENT SERVICES | MY POINT | MORROW FINANCIAL GROUP | MISSION CITY INVESTMENT SERVICES | MILLER WEALTH MANAGEMENT, INC. | MILES BROWN ASSET MANAGEMENT | MANSELL CAPITAL MANAGEMENT | MANGUS WEALTH MANAGEMENT | LPL SUNNYVALE | LONESTAR WEALTH MANAGEMENT | LONE STAR INVESTMENT SOLUTIONS | LBW INSURANCE & FINANCIAL SERVICES | LANDINGS FINANCIAL SERVICES | KLEVENS CAPITAL MANAGEMENT, INC. | KEYPOINT FINANCIAL SERVICES | KALINA WEALTH ADVISORS | JUDD WEALTH MANAGEMENT | JAMES MERKEL (PYRAMID FCU) | INTEGRO WEALTH MANAGEMENT | IHN FAMILY LEGACY PLANNING, INC. | IDAHO CENTRAL WEALTH MANAGEMENT | GAVAGAN FINANCIAL SERVICES | FORTHRIGHT FINANCIAL SERVICES | FIRST SERVICE WEALTH MANAGEMENT | FINANCIAL SERVICES AT FMFCU | ELEVATE WEALTH | EAGLE WEALTH MANAGEMENT | DIAMOND FINANCIAL PLANNING | DEER VALLEY FINANCIAL SERVICES | DAVIS FINANCIAL MANAGEMENT | CUE FINANCIAL GROUP | COUNTY FEDERAL WEALTH MANAGEMENT | CORNERSTONE ASSET MANAGEMENT (CORNERSTONE WEALTH MANAGEMENT) | COPPER STATE WEALTH MANAGEMENT | CHABOT FINANCIAL SERVICES | CANYON STATE WEALTH MANAGEMENT SERVICES | CANO CAPITAL MANAGEMENT, LLC | CALIFORNIA COAST FINANCIAL SERVICES | BLUPEAK INVESTMENT SERVICES | BATIE & CO CAPITAL MGMT LLC | ASCENSION COLLEGE PLANNING | APRICITY WEALTH MANAGEMENT | ANTHEA WEALTH MANAGEMENT | ALTIER INVESTMENTS AND FINANCIAL PLANNING | ALTIER INVESTMENT SERVICES | AERO INVESTMENT SERVICES | A.I.R.E FINANCIAL | A. M. GUIDANCE & FINANCIAL SERVICES CONSULTING LLC
CRD#: 173344 / SEC#: 801-80797
RIA
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Contact information
Main Address
3200 N. Central Ave Suite #200, Phoenix, AZ 85012
Mailing Address
Phone number
(800) 405-8850
Established
Firm type
Fiscal year end
# of Employees
119
SEC notice filing (39 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 13,550 |
| AUM (Assets Under Management) | $ 3,083,491,501 |
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.
