Richard C. Austin
Professional summary
Richard Charles Austin, who also goes by Richard Austin, Richie Charles Austin, Richie Austin, is a registered financial advisor currently at TRUIST ADVISORY SERVICES, INC. located in Alpharetta, Georgia and TRUIST INVESTMENT SERVICES, INC. located in Alpharetta, Georgia.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Richard has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Richard Charles Austin's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 21, 2020 - Present
TRUIST ADVISORY SERVICES, INC.
Office #1: 2520 Northwinds Pkwy Fl 4, Alpharetta, GA 30009May 13, 2020 - Present
TRUIST INVESTMENT SERVICES, INC.
Office #1: 2520 Northwinds Pkwy Fl 4, Alpharetta, GA 30009January 8, 2020 - April 21, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 7, 2020 - April 21, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 14, 2018 - September 23, 2019
TRUIST ADVISORY SERVICES, INC.
August 14, 2018 - September 23, 2019
TRUIST INVESTMENT SERVICES, INC.
April 23, 2018 - August 7, 2018
WELLS FARGO CLEARING SERVICES, LLC
April 23, 2018 - August 7, 2018
WELLS FARGO CLEARING SERVICES, LLC
September 27, 2016 - March 5, 2018
TRUIST ADVISORY SERVICES, INC.
October 16, 2015 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
October 16, 2015 - March 5, 2018
TRUIST INVESTMENT SERVICES, INC.
November 3, 2014 - October 2, 2015
BB&T INVESTMENT SERVICES, INC.
October 30, 2014 - October 2, 2015
BB&T INVESTMENT SERVICES, INC.
March 22, 2013 - September 6, 2013
BB&T INVESTMENT SERVICES, INC.
December 10, 2012 - September 6, 2013
BB&T INVESTMENT SERVICES, INC.
July 12, 2012 - December 21, 2012
WELLS FARGO CLEARING SERVICES, LLC
January 6, 2012 - June 6, 2012
EQUITABLE ADVISORS, LLC
Primary Firm SEC Registration
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/1/2020)
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(10/6/2020)
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(12/11/2020)
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(10/1/2020)
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Exams
FINRA
Current Firm
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 124,363 |
| AUM (Assets Under Management) | $ 67,736,740,585 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/24/2025 | ||
| 03/28/2024 | ||
| 04/26/2023 |
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.
