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Stephen C. Austin

Some features on this profile are disabled
CRD#: 6380544
SA

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.

Stephen Clark Austin was a registered financial professional .

Stephen is a previously registered financial professional and started their career in finance in 2014. Stephen had worked at 10 firms and has passed the Series 65, Series 63, Series 22TO, SIE and Series 6 exams.

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 28, 2025 - December 31, 2025

WEALTHPRIME

RIA
CRD#: 332048
SAN JOSE, CA
Past

May 19, 2023 - April 23, 2024

KINGSWOOD CAPITAL PARTNERS, LLC

BD
CRD#: 288898
SAN DIEGO, CA
Past

January 25, 2022 - April 23, 2024

KINGSWOOD WEALTH ADVISORS, LLC

RIA
CRD#: 288792
Walnut Creek, CA
Past

January 6, 2020 - January 25, 2022

BENCHMARK ADVISORY SERVICES, LLC

RIA
CRD#: 305662
Walnut Creek, CA
Past

January 6, 2020 - May 19, 2023

D. BORAL CAPITAL

BD
CRD#: 103792
NEW YORK, NY
Past

July 5, 2018 - January 31, 2020

CAPE INVESTMENT ADVISORY, INC.

RIA
CRD#: 146384
Glen Rock, NJ
Past

May 4, 2018 - October 2, 2019

AMERICAN GLOBAL WEALTH MANAGEMENT, INC.

BD
CRD#: 7388
MCDONOUGH, GA
Past

January 4, 2017 - July 2, 2018

401K GENERATION

RIA
CRD#: 154279
Glen Rock, NJ
Past

March 28, 2016 - December 12, 2016

INFINITY FINANCIAL SERVICES

RIA
CRD#: 144302
Glen Rock, NJ
Past

November 25, 2015 - December 12, 2016

INFINITY FINANCIAL SERVICES

BD
CRD#: 144302
Glen Rock, NJ
Past

September 30, 2014 - December 3, 2015

PAYCHEX SECURITIES CORPORATION

BD
CRD#: 39733
SAN RAMON, CA

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 2/13/2016
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/10/2014
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 22TO
Date: 8/29/2020
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 9/30/2014
Investment Company Products/Variable Contracts Representative Examination

Current Firm

WE
WEALTHPRIME
WEALTHPRIME

CRD#: 332048 / SEC#: 801-131167

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Contact information

Main Address
4100 Moorpark Avenue, Suite 128, San Jose, CA 95117
Mailing Address
Phone number
(855) 774-6340
Established
Firm type
Fiscal year end
# of Employees
3

Documents

Latest Form ADV

Part 2 Brochures

0

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

WEALTHPRIME

CRD#: 332048

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