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AC

Adam W. Claussen

BANKERS LIFE ADVISORY SERVICES
AUSTIN, TX 78759
Some features on this profile are disabled
CRD#: 5977153
AC

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.
The advisor shows no other business activity.

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
BD
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

BD
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.

BD
CRD#: 5685
AUSTIN, TX
Past

November 11, 2011 - June 26, 2014

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

BD
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".
BL
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.
RR
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

RR
Alabama
(10/16/2019)
RR
Colorado
(10/15/2019)
RR
Florida
(8/13/2024)
RR
Georgia
(1/20/2022)
RR
Illinois
(3/11/2025)
RR
North Carolina
(7/7/2023)
RR
Texas
(10/15/2019)
IAR
Texas
(10/15/2019)

Exams

State Security Law Exam
IAR
Series 65
Date: 9/26/2014
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/16/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/19/2017
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 11/10/2011
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

BL
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)
PREMIUM
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Contact information

Main Address
303 E. Wacker Drive Ste 500, 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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

BLAS PORTFOLIOS WRAP FEE BROCHURE AS OF 021226 (2/12/2026)
BLAS-ADV-PART2A 03012025 (2/28/2025)
BLAS WRAP BROCHURE 03012025 (2/28/2025)

Regulatory assets under management

Total Number of Accounts14,938
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.

Company Information

BANKERS LIFE ADVISORY SERVICES, INC.

CRD#: 281285Austin, TX 78759

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