Nicklaus C. Austin
SAVVY
Charlotte, NC
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CRD#: 6163945
Professional summary
Nicklaus C Austin, who also goes by Chase Austin, Nicklaus Chase Austin, is a registered financial advisor currently at SAVVY located in Charlotte, North Carolina.
Nicklaus is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Nicklaus has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Biography
After three years playing in Major League Baseball, Chase parlayed his experience of working with a financial advisor as a professional athlete to become a Financial Advisor himself and help clients manage their financial life just as he was helped. Chase’s financial advisor was instrumental in helping him manage his signing bonus, so he knew then that when his baseball career was over that he wanted to do the same for others. Following his professional baseball career, Chase was given that opportunity when his financial advisor hired him to work with his group and help with other athletes. Chase then transitioned to working with entrepreneurs, athletes, and business owners to help them understand their financial lives. He says he is most rewarded when he is communicating with his clients and helping them achieve their goals and grow with their families.
He attended Elon University where he played baseball and was drafted in the 5th round of the 2009 MLB Draft. In his free time, Chase enjoys spending time with his wife and two daughters, playing golf, and traveling.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Chase Austin | Nicklaus Chase Austin
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.
CRS (Client Relationship Summary) - RIA
Click below to view Nicklaus C Austin'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®
NoneExperience
Current
April 16, 2024 - Present
SAVVY
RIA
CRD#: 318493
Charlotte, NC
Past
March 23, 2017 - April 16, 2024
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
CHARLOTTE, NC
Past
March 13, 2017 - April 16, 2024
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
CHARLOTTE, NC
Past
October 3, 2014 - March 2, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
CHARLOTTE, NC
Past
June 2, 2014 - March 2, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
CHARLOTTE, NC
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".
SA
SAVVY
CEDAR + SEVENS WEALTH | WEALTH RETENTION | SULLIVAN FARR WEALTH ADVISORS | STANDING OAK ADVISORS | SAVVY WEALTH, INC. | SAVVY WEALTH | SAVVY ADVISORS, INC. | SAVVY | PRESTIQ WEALTH PARTNERS CORP | NINE FOUR WEALTH | MARKETWISE ASSET MANAGEMENT | KHOURY PRIVATE WEALTH | HARDY CAPITAL INVESTMENTS | FLOURISH FINANCIAL PARTNERS
CRD#: 318493 / SEC#: 801-123656
RIA
Registered Investment Advisory firm - (4/11/2022 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.Highlighted states indicate IAR registrations
IAR
North Carolina(4/16/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
SA
SAVVY
CEDAR + SEVENS WEALTH | WEALTH RETENTION | SULLIVAN FARR WEALTH ADVISORS | STANDING OAK ADVISORS | SAVVY WEALTH, INC. | SAVVY WEALTH | SAVVY ADVISORS, INC. | SAVVY | PRESTIQ WEALTH PARTNERS CORP | NINE FOUR WEALTH | MARKETWISE ASSET MANAGEMENT | KHOURY PRIVATE WEALTH | HARDY CAPITAL INVESTMENTS | FLOURISH FINANCIAL PARTNERS
CRD#: 318493 / SEC#: 801-123656
RIA
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Contact information
Main Address
111 West 33rd Street Unit 1410, New York, NY 10001
Mailing Address
Phone number
(833) 745-6789
Established
Firm type
Fiscal year end
# of Employees
60
SEC notice filing (38 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,776 |
| AUM (Assets Under Management) | $ 1,295,318,161 |
Red Flags
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