Adam Jeffrey Flagg, AIF, CFP | Financial Professional | Austin, Texas

Professional summary

Adam Jeffrey Flagg, AIF®, CFP® is a registered financial advisor currently at CWM, LLC located in Austin, Texas.

Adam is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Adam has worked at 6 firms and has passed the Series 66, 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. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 11/2007 APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES, AND LONG-TERM CARE 2. NAME OF OTHER BUSINESS: PRESTIGE INTERNATIONAL INSURANCE LIMITED INVESTMENT RELATED: YES ADDRESS: WELLESLEY HOUSE SOUTH 1ST FLOOR, 90 PITTS BAY ROAD, PEMBROKE, BERMUDA HM08 NATURE OF BUSINESS: CAPTIVE INSURANCE COMPANY START DATE: 7/2019 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 1 BRIEF DESCRIPTION OF DUTIES: WORK WITH REINSURERS AND GET PAID INSURANCE MANAGEMENT FEES 3. NAME OF OTHER BUSINESS: STATE OF TEXAS NOTARY INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED ADDRESS NATURE OF BUSINESS: NOTARY SERVICES START DATE: 5/2008 POSITION/TITLE/RELATIONSHIP: NOTARY APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 1 BRIEF DESCRIPTION OF DUTIES: NOTARY SERVICES FOR CLIENTS 4. NAME OF OTHER BUSINESS: ELITE HOLDINGS LIMITED INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED ADDRESS NATURE OF BUSINESS: HOLDING COMPANY START DATE: 7/2019 POSITION/TITLE/RELATIONSHIP: PRESIDENT, OWNER APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: ACT AS PRESIDENT 5. NAME OF OTHER BUSINESS: ECG FINANCE LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION ; NATURE OF BUSINESS: HOLDING COMPANY ; START DATE: 01/2018 ; POSITION/TITLE/RELATIONSHIP: PRESIDENT ; APX NUMBER OF HOURS PER WEEK: 0 ; APX NUMBER OF HOURS DURING TRADING HOURS: 0 ; BRIEF DESCRIPTION OF DUTIES: HOLDING COMPANY FOR EXPENSES AND TAX PURPOSES; 8. NAME OF OTHER BUSINESS: FAMILY REACH; INVESTMENT RELATED: YES; ADDRESS: 142 BERKELEY ST, 3RD FLOOR, BOSTON, MA, 02116; NATURE OF BUSINESS: PRO BONO FINANCIAL EDUCATION & COACHING; START DATE: 4/2022 POSITION/TITLE/RELATIONSHIP: VOLUNTEER; APX # OF HOURS PER WEEK: 2; APX # OF HOURS DURING TRADING HOURS: 2; BRIEF DESCRIPTION OF DUTIES: PROVIDE PRO BONO FINANCIAL COACHING TO HELP FAMILIES DEALING WITH CANCER; 9. NAME OF OTHER BUSINESS: FPA AUSTIN - FINANCIAL PLANNING ASSOCIATION OF AUSTIN; INVESTMENT RELATED: NO ADDRESS: P O BOX 28268 AUSTIN, TX 78755; NATURE OF BUSINESS: NON PROFIT; START DATE: 6/2022; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER/ADVOCACY DIRECTOR; APX # OF HRS PER WK: 1; APX # OF HRS DUR TRADING HRS: 1; BRIEF DESCRIPTION OF DUTIES: REMAIN CURRENT ON LAWS AND CHANGE TO INDUSTRY, ADVOCATE AND KEEP MEMBERS INFORMED 10. BUSINESS: CANDLELIGHT RANCH FOUNDATION INC; INV RELATED: NO; ADDRESS: 6408 MULESHOE BEND TRAIL, MARBLE FALLS, TX 78654; NATURE OF BUSINESS: NON-PROFIT; START: 05/2023; POSITION: VICE PRESIDENT; APX # OF HRS/WK: 1; APX # OF HRS DUR TRADING HRS: 1; DUTIES: MEET MONTHLY, ATTEND EVENTS & FUNDRAISERS;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Adam Jeffrey Flagg'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®

AIF^®

Accredited Investment Fiduciary

CFP^®

Certified Financial Planner

Start date: 2014

Experience

Current

October 27, 2020 - Present

CWM, LLC

Office #1: 3755 S. Capital Of Texas Hwy, Ste. 100, Austin, TX 78704

RIA

CRD#: 155344

Austin, TX

Past

June 29, 2023 - August 8, 2023

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

AUSTIN, TX

Past

October 27, 2020 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

AUSTIN, TX

Past

October 27, 2020 - August 8, 2023

CETERA WEALTH SERVICES, LLC

BD

CRD#: 13572

AUSTIN, TX

Past

March 9, 2012 - October 28, 2020

SPC

RIA

CRD#: 110692

Austin, TX

Past

March 9, 2012 - October 28, 2020

SIGMA FINANCIAL CORPORATION

BD

CRD#: 14303

Austin, TX

Past

July 17, 2007 - March 13, 2012

EDWARD JONES

RIA

CRD#: 250

AUSTIN, TX

Past

June 28, 2007 - March 13, 2012

EDWARD JONES

BD

CRD#: 250

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".

CL

CWM, LLC

CRD#: 155344 / SEC#: 801-72037

RIA

Registered Investment Advisory firm - (1/3/2011 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

Louisiana
(11/21/2023)

IAR

Texas
(10/27/2020)

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.

Exams

State Security Law Exam

RR

IAR

Series 66

Date: 7/12/2007

Uniform Combined State Law Examination

General Industry/Product Exam

RR

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 7

Date: 6/27/2007

General Securities Representative Examination

Current Firm

CL

CWM, LLC

CRD#: 155344 / SEC#: 801-72037

RIA

Registered Investment Advisory firm - (1/3/2011 Approved)

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Contact information

Main Address

14600 Branch St., Omaha, NE 68154

Mailing Address

Phone number

(402) 330-0808

Established

Firm type

Fiscal year end

# of Employees

1,314

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CWM, LLC ADV PART 2A (7/9/2025)

CWM, LLC APPENDIX WRAP PROGRAM (5/8/2025)

Regulatory assets under management

Total Number of Accounts	124,944
AUM (Assets Under Management)	$ 33,775,526,748

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

Adam J. Flagg

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Adam Jeffrey Flagg's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT ADVISERS LLC

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

SPC

SIGMA FINANCIAL CORPORATION

EDWARD JONES

EDWARD JONES

Primary Firm SEC Registration

CWM, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/12/2007

SIE

Date: 10/1/2018

Series 7

Date: 6/27/2007

Current Firm

CWM, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CWM, LLC

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