AA
Arthur Austin
BUCK WEALTH STRATEGIES
Kahului, HI 96732
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CRD#: 6182258
AA
Professional summary
Arthur Austin, who also goes by Aj Austin, Arthur Jeffrey Austin, is a registered financial advisor currently at BUCK WEALTH STRATEGIES, LLC located in Kahului, Hawaii and MADISON AVENUE SECURITIES, LLC located in Kahului, Hawaii.
Arthur is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Arthur has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Aj Austin | Arthur Jeffrey 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.
1) E.A. Buck Insurance DBA E.A. Buck Financial Services; Yes Investment Related; 55 Merchant Street Suite 2100, Honolulu HI 96813; Insurance Sales; Client Coordinator; Start Date 04/2013; Approx. 160 hours a month; Approx. 160 during trading; Insurance Sales and Services. 2) Madison Avenue Securities; Yes Investment Related; 13500 Evening Creek Drive N Suite 555, San Diego CA 92128; Securities Sales; Registered Representative; State Date 01/2022; Approx. 160 hours a month; Approx. 160 during trading; securities sales and services. 3) NAME: BUCK WEALTH STRATEGIES; ADDRESS: 55 MERCHANT STREET SUITE 2100, HONOLULU, HAWAII 96813; INVESTMENT RELATED: YES; POSITION: INVESTMENT ADVISOR REPRESENTATIVE; DUTIES: REGISTERED INVESTMENT ADVISOR ENGAGED IN ASSET MANAGEMENT SERVICES; HOURS PER WEEK: 40 HOURS; START DTATE: 07/2022
CRS (Client Relationship Summary) - RIA
Click below to view Arthur 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
August 12, 2022 - Present
BUCK WEALTH STRATEGIES, LLC
Office #1: 33 Long Ave. Suite 310, Kahului, HI 96732RIA
CRD#: 322138
Kahului, HI
Current
January 26, 2022 - Present
MADISON AVENUE SECURITIES, LLC
Office #1: 33 Lono Avenue Suite 310, Kahului, HI 96732RIA
BD
CRD#: 23224
Kahului, HI
Past
May 10, 2022 - January 20, 2023
AE WEALTH MANAGEMENT, LLC
RIA
CRD#: 282580
Kahului, HI
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".
BW
BUCK WEALTH STRATEGIES, LLC
BUCK WEALTH STRATEGIES, LLC | JOHN INGRAHAM, LLC | E. A. BUCK FINANCIAL SERVICES
CRD#: 322138 / SEC#: 801-126075
RIA
Registered Investment Advisory firm - (7/12/2022 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.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
California(2/27/2024)
RR
Colorado(2/27/2024)
RR
Florida(2/27/2024)
RR
Hawaii(4/26/2022)
IAR
Hawaii(8/12/2022)
RR
Nevada(2/27/2024)
RR
New Mexico(2/27/2024)
RR
Oregon(3/4/2024)
RR
South Carolina(2/27/2024)
RR
Virginia(2/26/2024)
RR
Washington(4/9/2025)
RR
Wisconsin(2/27/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/26/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
BW
BUCK WEALTH STRATEGIES, LLC
BUCK WEALTH STRATEGIES, LLC | JOHN INGRAHAM, LLC | E. A. BUCK FINANCIAL SERVICES
CRD#: 322138 / SEC#: 801-126075
RIA
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Contact information
Main Address
4600 S. Syracuse Street Suite 650, Denver, CO 80237
Mailing Address
Phone number
(888) 210-6567
Established
Firm type
Fiscal year end
# of Employees
66
SEC notice filing (28 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,982 |
| AUM (Assets Under Management) | $ 565,377,646 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/03/2024 | ||
| 01/26/2024 |
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
BUCK WEALTH STRATEGIES, LLC
CRD#: 322138Kahului, HI 96732TRUST BUT VERIFY
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