Austin Thomas Duvall
CFP®Professional Summary
Austin Thomas Duvall, CFP® is a registered financial advisor currently at KEYSTONE FINANCIAL GROUP, LLC located in Lexingtin, Kentucky and LPL FINANCIAL LLC located in Lexington, Kentucky. Austin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Austin has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Services Offered
- Retirement Income Management
- Employee and Employer Plan Benefits
- Long-term Care
- Education Planning
- Insurance Planning
- Estate Planning
- Small Business Planning
- Comprehensive Financial Planning
- Divorce Planning
- Retirement Planning
- Debt Management
- Investment Planning
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
Direct
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Credentials
Years of Experience
12 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
ATHLETIC ESSENTIALS | WATTS FINANCIAL CORP | STONEWALL MANAGEMENT | SOLOPRENUER FINANCIAL | SEALS FINANCIAL PLANNING | R. L. BROWN WEALTH MANAGEMENT | KEYSTONE FINANCIAL GROUP, LLC | JENNINGS AND ASSOCIATES | J.R. YOUNG COMPANY | HARRIS FINANCIAL
Contact Information
Main Address
527 Wellington Way, Ste 225, Lexington, KY 40503Phone Number
(859) 317-8316# of Employees
49SEC notice filing (21 States and Territories)
Registered to provide investment advisory services in 21 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
6,628AUM (Assets Under Management)
$2,338,235,877Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
ATHLETIC ESSENTIALS | WATTS FINANCIAL CORP | STONEWALL MANAGEMENT | SOLOPRENUER FINANCIAL | SEALS FINANCIAL PLANNING | R. L. BROWN WEALTH MANAGEMENT | KEYSTONE FINANCIAL GROUP, LLC | JENNINGS AND ASSOCIATES | J.R. YOUNG COMPANY | HARRIS FINANCIAL
State Registrations and Notice Filings
(9/27/2023)
(2/5/2025)
(1/15/2019)
(10/12/2016)
(6/2/2021)
(8/24/2020)
(12/2/2014)
(10/16/2017)
(9/17/2024)
(9/20/2023)
(4/2/2025)
(1/22/2025)
(4/4/2016)
(4/8/2025)
(2/22/2017)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Austin Thomas Duvall's CRS (Customer Relationship Summary).
Services Offered by Austin
- Retirement Income Management
- Employee and Employer Plan Benefits
- Long-term Care
- Education Planning
- Insurance Planning
- Estate Planning
- Small Business Planning
- Comprehensive Financial Planning
- Divorce Planning
- Retirement Planning
- Debt Management
- Investment Planning
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