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AG

Austin M. Gengos

AFW ASSOCIATES LLC
New York, NY 10019
Some features on this profile are disabled
CRD#: 6080994
AG

Professional summary

Austin Michael Gengos is a registered financial professional currently at AFW ASSOCIATES LLC located in New York, New York.

Austin is registered as a RR (Registered Representative) and started their career in finance in 2021. Austin has worked at 1 firm and has passed the Series 63, Series 79TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Austin Michael Gengos'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

July 7, 2021 - Present

AFW ASSOCIATES LLC

Office #1: 152 West 57th Street 36th Floor, New York, NY 10019
BD
CRD#: 289429
New York, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
New York
(7/7/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 6/24/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 7/7/2021
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 6/11/2021
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

AA
AFW ASSOCIATES LLC
AFW ASSOCIATES LLC | STAVLO ASSOCIATES LLC

CRD#: 289429 / SEC#: , 8-69992

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
152 West 57th Street 36th Floor, New York, NY 10019
Mailing Address
152 West 57th Street 36th Floor, New York, NY 10019
Phone number
(212) 838-8810
Established
Delaware since 06/19/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
AFWCO LPMANAGING MEMBER
CHUNG, MICHAELCFO/FINOP5739877
HALASY, HALECHIEF COMPLIANCE OFFICER1837514
WEISS, ANTONIO FRANCESCOMANAGING PARTNER2155625

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

AFW ASSOCIATES LLC

CRD#: 289429New York, NY 10019

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