Nicholas E. Austin

INTELLICENTS INVESTMENT SOLUTIONS

Albert Lea, MN 56007

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CRD#: 5853221

Professional summary

Nicholas Edward Austin, who also goes by Nicholas Austin, is a registered financial advisor currently at INTELLICENTS INVESTMENT SOLUTIONS INC located in Albert Lea, Minnesota.

Nicholas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. Nicholas has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Nicholas 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. INDEPENDENT INSURANCE AGENT, START DATE: 9/2016, 100 NORTH BROADWAY, 1ST FLOOR, ALBERT LEA, MN 56007, SOLE-PROPRIETOR, INSURANCE AGENT, PRODUCER/AGENT, GROUP LIFE AND DISABILITY INSURANCE, GROUP HEALTH AND FIXED ANNUITIES, NOT INVESTMENT RELATED, 4 HOURS PER MONTH, 1 HOUR PER DAY DURING TRADING HOURS. 2. INTELLICENTS INVESTMENT SOLUTIONS, INC., START DATE: 12/2016, 100 NORTH BROADWAY, 1ST FLOOR, ALBERT LEA, MN 56007, CORPORATION, RIA/401K ADVISORY, 401K ADVISORY FEE BASED SALES, INVESTMENT RELATED, 20 HOURS PER MONTH, 2 HOURS PER DAY DURING TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Edward 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

September 22, 2014 - Present

INTELLICENTS INVESTMENT SOLUTIONS INC

Office #1: 100 North Broadway, Albert Lea, MN 56007

RIA

CRD#: 107498

Albert Lea, MN

Past

August 3, 2018 - April 8, 2020

MUTUAL SECURITIES, INC.

CRD#: 13092

ALBERT LEA, MN

Past

October 3, 2016 - August 10, 2018

CETERA ADVISORS LLC

CRD#: 10299

ALBERT LEA, MN

Past

January 4, 2016 - October 3, 2016

INVESTORS CAPITAL CORP.

CRD#: 30613

ALBERT LEA, MN

Past

September 30, 2013 - December 31, 2015

LPL FINANCIAL LLC

CRD#: 6413

ALBERT LEA, MN

Past

November 10, 2010 - October 4, 2013

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

ALBERT LEA, MN

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".

INTELLICENTS INVESTMENT SOLUTIONS INC

ABG INVESTMENT SERVICES INC | INTELLICENTS INVESTMENT SOLUTIONS INC

CRD#: 107498 / SEC#: 801-51382

RIA

Registered Investment Advisory firm - (2/29/1996 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

Minnesota
(9/22/2014)

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

IAR

Series 65

Date: 7/18/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/31/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 11/9/2010

Investment Company Products/Variable Contracts Representative Examination

Current Firm

INTELLICENTS INVESTMENT SOLUTIONS INC

ABG INVESTMENT SERVICES INC | INTELLICENTS INVESTMENT SOLUTIONS INC

CRD#: 107498 / SEC#: 801-51382

RIA

Registered Investment Advisory firm - (2/29/1996 Approved)

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Contact information

Main Address

100 North Broadway, Albert Lea, MN 56007

Mailing Address

Phone number

(507) 377-2919

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (43 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

INTELLICENTS INVESTMENT SOLUTIONS INC ADV 2A OCTOBER 2025 (10/24/2025)

INTELLICENTS INVESTMENT SOLUTIONS INC WRAP BROCHURE MARCH 2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	6,103
AUM (Assets Under Management)	$ 7,362,137,726

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/21/2024	Cover Page	Report

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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Nicholas E. Austin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

MUTUAL SECURITIES, INC.

CETERA ADVISORS LLC

INVESTORS CAPITAL CORP.

LPL FINANCIAL LLC

KESTRA INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

INTELLICENTS INVESTMENT SOLUTIONS INC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/18/2011

Series 63

Date: 1/31/2011

SIE

Date: 10/1/2018

Series 6

Date: 11/9/2010

Current Firm

INTELLICENTS INVESTMENT SOLUTIONS INC

Contact information

SEC notice filing (43 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

INTELLICENTS INVESTMENT SOLUTIONS INC

TRUST BUT VERIFY

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