Austin S. Minor
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Austin S Minor, who also goes by Austin S Minor, Austin Scott Minor, was a registered financial professional .
Austin is a previously registered financial professional and started their career in finance in 2012. Austin had worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 16, 2024 - July 2, 2026
MERCER GLOBAL ADVISORS INC.
March 14, 2023 - January 31, 2024
GUIDANCE POINT RETIREMENT SERVICES, LLC
March 14, 2023 - February 1, 2024
GUIDANCE POINT ADVISORS, LLC
June 30, 2022 - March 6, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 29, 2022 - March 6, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 2, 2021 - April 13, 2022
FIDELITY PERSONAL AND WORKPLACE ADVISORS
October 11, 2021 - April 11, 2022
FIDELITY BROKERAGE SERVICES LLC
April 5, 2016 - December 31, 2020
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
April 5, 2016 - January 11, 2021
TD AMERITRADE, INC.
March 28, 2016 - January 11, 2021
TD AMERITRADE, INC.
May 7, 2014 - March 22, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 7, 2014 - March 22, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 30, 2012 - January 2, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 30, 2012 - January 2, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 14, 2012 - June 14, 2012
WADDELL & REED
January 19, 2012 - June 14, 2012
WADDELL & REED
Primary Firm SEC Registration
MERCER GLOBAL ADVISORS INC.
CRD#: 147363 / SEC#: 801-69271
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MERCER GLOBAL ADVISORS INC.
CRD#: 147363 / SEC#: 801-69271
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 99,044 |
| AUM (Assets Under Management) | $ 60,256,270,580 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/29/2025 | ||
| 07/31/2024 | ||
| 09/28/2023 |
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.
