Stephen C. Austin

WEALTHPRIME

SAN JOSE, CA 95117

Some features on this profile are disabled

CRD#: 6380544

Professional summary

Stephen Clark Austin is a registered financial advisor currently at WEALTHPRIME located in San Jose, California.

Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Stephen has 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"?

Yes

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.

- APEX Financial - Investment related - 2285 Overlook Dr, Walnut Creek, CA 94597 - Fixed insurance and DBA - Owner - Start date 12/01/2015 - 20hrs/month - 5hrs during trading hrs - Sell fixed insurance and annuities -Advisor Service Group - Non investment related - 765 Maitland Ave. Altamonte Springs FL - provides technology solutions to 401k clients and advisors - 4/1/2019 Start Date - 5 hours per month - CEO and shareholder

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Clark 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®

None

Experience

Current

May 28, 2025 - Present

WEALTHPRIME

Office #1: 4100 Moorpark Avenue, Suite 128, San Jose, CA 95117

RIA

CRD#: 332048

SAN JOSE, CA

Past

May 19, 2023 - April 23, 2024

KINGSWOOD CAPITAL PARTNERS, LLC

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

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.

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

CRD#: 144302

Glen Rock, NJ

Past

September 30, 2014 - December 3, 2015

PAYCHEX SECURITIES CORPORATION

CRD#: 39733

SAN RAMON, CA

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

California
(5/28/2025)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/13/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/10/2014

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 22TO

Date: 8/29/2020

Direct Participation Programs Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 9/30/2014

Investment Company Products/Variable Contracts Representative Examination

Current Firm

WEALTHPRIME

CRD#: 332048 / SEC#: 801-131167

RIA

Registered Investment Advisory firm - (9/20/2024 120-Day Approval)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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

SEC notice filing (2 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

WEALTHPRIME CAPITAL (7/28/2025)

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.

Similar Advisors

Ashkahn Moayedi

WELLS FARGO CLEARING SERVICES, LLC

IAR

DANVILLE, CA

Ronald Guay

FALCON WEALTH PLANNING, INC.

IAR

San Jose, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Stephen C. Austin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Clark Austin's CRS (Customer Relationship Summary).

Certified licenses

Experience

KINGSWOOD CAPITAL PARTNERS, LLC

KINGSWOOD WEALTH ADVISORS, LLC

BENCHMARK ADVISORY SERVICES, LLC

D. BORAL CAPITAL

CAPE INVESTMENT ADVISORY, INC.

AMERICAN GLOBAL WEALTH MANAGEMENT, INC.

401K GENERATION

INFINITY FINANCIAL SERVICES

INFINITY FINANCIAL SERVICES

PAYCHEX SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 65

Date: 2/13/2016

Series 63

Date: 12/10/2014

Series 22TO

Date: 8/29/2020

SIE

Date: 10/1/2018

Series 6

Date: 9/30/2014

Current Firm

WEALTHPRIME

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Red Flags

Company Information

WEALTHPRIME

TRUST BUT VERIFY

Similar Advisors