Cody A. Austin

AUSTIN WEALTH SOLUTIONS

Shreve, OH 44676

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CRD#: 5923603

Professional summary

Cody Aaron Austin, who also goes by Cody A Austin, is a registered financial advisor currently at AUSTIN WEALTH SOLUTIONS located in Shreve, Ohio.

Cody is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Cody has worked at 4 firms and has passed the Series 65, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Cody A 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.

TROY MILLER AGENCY; INVESTMENT RELATED; 160 S MARKET STREET, SHREVE, OH 44626; INSURANCE SALES; EMPLOYEE; STARTED 01/2014; 120 HOURS/MONTH DEVOTED; 80 HOURS/MONTH DEVOTED DURING SECURITIES TRADING HOURS; FIXED LIFE INSURANCE AND INDEXED ANNUITY SALES. FINANCIAL MANAGER; INVESTMENT RELATED; SAME OFFICE ADDRESS; BUSINESS CONSULTING; 16 HOURS/MONTH DEVOTED; 16 HOURS DEVOTED DURING SECURITIES TRADING HOURS; PROVIDES FINANCIAL MANAGEMENT SERVICES TO BUSINESS CLIENTS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cody Aaron 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®

None

Experience

Current

June 16, 2022 - Present

AUSTIN WEALTH SOLUTIONS

Office #1: 160 S. Market St, Shreve, OH 44676

RIA

CRD#: 319597

Shreve, OH

Past

December 13, 2018 - June 17, 2022

BROOKSTONE WEALTH ADVISORS, LLC

RIA

CRD#: 137658

SHREVE, OH

Past

February 12, 2018 - December 10, 2018

L.M. KOHN & COMPANY

CRD#: 27913

SHREVE, OH

Past

February 9, 2018 - December 10, 2018

L.M. KOHN & COMPANY

RIA

CRD#: 27913

SHREVE, OH

Past

October 10, 2015 - December 31, 2017

SECURITIES SERVICE NETWORK, LLC

CRD#: 13318

BURBANK, OH

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

Ohio
(6/16/2022)

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: 2/15/2016

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 10/10/2015

Investment Company Products/Variable Contracts Representative Examination

Current Firm

AUSTIN WEALTH SOLUTIONS

AUSTIN WEALTH SOLUTIONS | AUSTIN WEALTH SOLUTIONS LLC

CRD#: 319597 / SEC#:

Ohio

Registered Investment Advisory firm - (6/16/2022 Approved)

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Contact information

Main Address

160 S. Market St, Shreve, OH 44676

Mailing Address

Phone number

(330) 473-1014

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	83
AUM (Assets Under Management)	$ 4,031,490

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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Cody A. Austin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cody Aaron Austin's CRS (Customer Relationship Summary).

Certified licenses

Experience

AUSTIN WEALTH SOLUTIONS

BROOKSTONE WEALTH ADVISORS, LLC

L.M. KOHN & COMPANY

L.M. KOHN & COMPANY

SECURITIES SERVICE NETWORK, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/15/2016

SIE

Date: 10/1/2018

Series 6

Date: 10/10/2015

Current Firm

AUSTIN WEALTH SOLUTIONS

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

AUSTIN WEALTH SOLUTIONS

TRUST BUT VERIFY

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