Christopher S. Austin
Professional summary
Christopher S Austin, who also goes by Chris Austin, Christopher Scott Austin, is a registered financial advisor currently at CITY NATIONAL ROCHDALE located in Irvine, California and CNR SECURITIES, LLC located in Irvine, California.
Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Christopher has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Christopher S Austin's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 4, 2020 - Present
CITY NATIONAL ROCHDALE
Office #1: 18111 Von Karman Avenue, Irvine, CA 92612March 3, 2020 - Present
CNR SECURITIES, LLC
Office #1: 18111 Von Karman Avenue 4th Floor, Irvine, CA 92612May 7, 2018 - February 3, 2020
20/20 CAPITAL MANAGEMENT, INC
March 19, 2014 - December 31, 2016
AMERITAS INVESTMENT COMPANY, LLC
March 11, 2014 - March 6, 2020
AMERITAS INVESTMENT COMPANY, LLC
January 14, 2013 - February 24, 2014
A.G.P. / ALLIANCE GLOBAL PARTNERS
January 10, 2013 - February 24, 2014
A.G.P. / ALLIANCE GLOBAL PARTNERS
November 10, 2011 - January 7, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 21, 2011 - January 7, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 14, 2011 - August 30, 2011
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
CITY NATIONAL ROCHDALE
CRD#: 117198 / SEC#: 801-27265
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/3/2020)
(3/4/2020)
(4/16/2021)
(4/16/2021)
(8/12/2022)
(8/12/2022)
(4/16/2021)
(4/16/2021)
(2/7/2025)
Exams
FINRA
Current Firm
CITY NATIONAL ROCHDALE
CRD#: 117198 / SEC#: 801-27265
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 41,300 |
| AUM (Assets Under Management) | $ 68,177,828,012 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 10/27/2023 |
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.
