Adam W. Claussen

BANKERS LIFE ADVISORY SERVICES

AUSTIN, TX 78759

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CRD#: 5977153

Professional summary

Adam W Claussen, who also goes by Adam Wayne Claussen, is a registered financial advisor currently at BANKERS LIFE ADVISORY SERVICES, INC. located in Austin, Texas and BANKERS LIFE SECURITIES, INC. located in Austin, Texas.

Adam is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Adam has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Adam Wayne Claussen

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.

BANKERS LIFE & CASUALTY POSITION: Unit Field Trainer NATURE: Insurance INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 100 START DATE: 05/15/2007 ADDRESS: 14205 N Mopac Expy Suite 600, Austin TX 78728, United States DESCRIPTION: Recruit and train insurance agents. I am also appointed with KFA through BLC which allows agents to write business for Medicare Supplement, Annuity and Equity Indexed annuity insurance products, life insurance, health and LTC. Claussen Creative Concepts, LLC-sole owner and officer of this LLC. Claussen Creative Concepts is not used for any business purpose. Start: 10/02/2013 Address: 1816 Lloydminister Way Cedar Park, TX 78613 0 hrs per month Not investment-related Hill Country Bowhunters-Officer - 3D Director, setup the 3D course once a month for a competitive shoot with bows. Start: 04/24/2019 Address: 540 Co Rd 258,Liberty Hill, TX 78642 8 hours per month, 0 during securities trading hours Not investment related

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Adam W Claussen'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

October 15, 2019 - Present

BANKERS LIFE ADVISORY SERVICES, INC.

Office #1: 14205 Burnet Road Suite 600, Austin, TX 78759

RIA

CRD#: 281285

AUSTIN, TX

Current

October 15, 2019 - Present

BANKERS LIFE SECURITIES, INC.

Office #1: 14205 N Mopac Expy Ste 600,, Austin, TX 78759

CRD#: 173962

Austin, TX

Past

January 27, 2015 - September 16, 2019

PARK AVENUE SECURITIES LLC

RIA

CRD#: 46173

AUSTIN, TX

Past

January 20, 2015 - September 16, 2019

PARK AVENUE SECURITIES LLC

CRD#: 46173

AUSTIN, TX

Past

October 13, 2014 - January 7, 2015

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

AUSTIN, TX

Past

May 28, 2014 - January 7, 2015

PRUCO SECURITIES, LLC.

CRD#: 5685

AUSTIN, TX

Past

November 11, 2011 - June 26, 2014

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

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".

BANKERS LIFE ADVISORY SERVICES, INC.

BANKERS LIFE | BL ADVISORY SERVICES, INC | BANKERS LIFE ADVISORY SERVICES, INC.

CRD#: 281285 / SEC#: 801-106953

RIA

Registered Investment Advisory firm - (11/18/2015 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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(10/16/2019)

Colorado
(10/15/2019)

Florida
(8/13/2024)

Georgia
(1/20/2022)

Illinois
(3/11/2025)

North Carolina
(7/7/2023)

Texas
(10/15/2019)

IAR

Texas
(10/15/2019)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/26/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/16/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/19/2017

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/10/2011

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

BANKERS LIFE ADVISORY SERVICES, INC.

BANKERS LIFE | BL ADVISORY SERVICES, INC | BANKERS LIFE ADVISORY SERVICES, INC.

CRD#: 281285 / SEC#: 801-106953

RIA

Registered Investment Advisory firm - (11/18/2015 Approved)

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Contact information

Main Address

303 E. Wacker Drive 5th Fl, Chicago, IL 60601

Mailing Address

Phone number

(844) 553-9083

Established

Firm type

Fiscal year end

# of Employees

384

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BLAS WRAP BROCHURE 03012025 (2/28/2025)

BLAS-ADV-PART2A 03012025 (2/28/2025)

Regulatory assets under management

Total Number of Accounts	14,938
AUM (Assets Under Management)	$ 1,943,847,697

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 W. Claussen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Adam W Claussen's CRS (Customer Relationship Summary).

Certified licenses

Experience

BANKERS LIFE SECURITIES, INC.

PARK AVENUE SECURITIES LLC

PARK AVENUE SECURITIES LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

Primary Firm SEC Registration

BANKERS LIFE ADVISORY SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/26/2014

Series 63

Date: 12/16/2011

SIE

Date: 10/1/2018

Series 7

Date: 10/19/2017

Series 6

Date: 11/10/2011

FINRA

Current Firm

BANKERS LIFE ADVISORY SERVICES, INC.

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BANKERS LIFE ADVISORY SERVICES, INC.

TRUST BUT VERIFY

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