Adam J. Ausloos

ADVICEWORKS WEALTH ADVISORS

SARASOTA, FL 34236

CRD#: 5963691

Professional summary

Adam J Ausloos is a registered financial advisor currently at ADVICEWORKS WEALTH ADVISORS located in Sarasota, Florida.

Adam is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Adam has worked at 3 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.

Mr. Ausloos is the founder of Tax Deferral Services (TDS). TDS offers tax consulting services, strategy implementation, plan servicing and access to professional resources. TDS does not offer legal or tax advice. TDS refers clients to qualified Tax attorney's and CPA's for legal and tax advice. TDS does not provide investment advice or investment services. All investment services and advice are handled through AdviceWorks.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Adam J Ausloos'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

May 19, 2017 - Present

ADVICEWORKS WEALTH ADVISORS

Office #1: 1680 Fruitville Rd, Sarasota, FL 34236

RIA

CRD#: 284674

SARASOTA, FL

Past

July 20, 2016 - December 31, 2016

ADVICEWORKS WEALTH ADVISORS

RIA

CRD#: 284674

FRANKLIN, WI

Past

May 23, 2014 - July 27, 2016

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

BROOKFIELD, WI

Past

May 23, 2014 - July 27, 2016

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

BROOKFIELD, WI

Past

December 4, 2012 - May 5, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

WAUKESHA, WI

Past

November 30, 2012 - May 5, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

WAUKESHA, WI

Past

August 31, 2012 - October 10, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

BURLINGTON, WI

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

Florida
(11/4/2021)

IAR

Texas
(6/25/2020)

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

IAR

Series 66

Date: 10/30/2012

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 7/27/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/30/2012

General Securities Representative Examination

Current Firm

ADVICEWORKS WEALTH ADVISORS

ADVICEWORKS WEALTH ADVISORS | AUSLOOS, ADAM J. | ADVISEWORKS WEALTH ADVISORS LLC | ADVICEWORKS WEALTH ADVISORS LLC

CRD#: 284674 / SEC#: 801-108163

RIA

Registered Investment Advisory firm - (5/24/2017 Terminated)

Florida

Registered Investment Advisory firm - (11/4/2021 Approved)

Texas

Registered Investment Advisory firm - (6/25/2020 Conditional Restricted)

Wisconsin

Registered Investment Advisory firm - (12/31/2023 Failure to Renew)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

1680 Fruitville Rd, Sarasota, FL 34236

Mailing Address

Phone number

(414) 206-2062

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	16
AUM (Assets Under Management)	$ 9,500,000

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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Adam J. Ausloos

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Adam J Ausloos's CRS (Customer Relationship Summary).

Certified licenses

Experience

ADVICEWORKS WEALTH ADVISORS

ADVICEWORKS WEALTH ADVISORS

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 66

Date: 10/30/2012

SIE

Date: 7/27/2016

Series 7

Date: 8/30/2012

Current Firm

ADVICEWORKS WEALTH ADVISORS

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ADVICEWORKS WEALTH ADVISORS

TRUST BUT VERIFY

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