Austin L. Frazier

CAPITAL STRATEGIES GROUP

Tempe, AZ 85283

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CRD#: 6572843

Professional summary

Austin Lee Frazier, CFP®, who also goes by Austin Frazier, is a registered financial advisor currently at CAPITAL STRATEGIES GROUP, LLC located in Tempe, Arizona.

Austin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Austin has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Austin Frazier

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.

INSURANCE AGENT, 2151 E BASELINE RD. SUITE 101 TEMPE, AZ 85283, OCTOBER 2012, INVESTMENT RELATED, LIFE AND HEALTH INSURANCE PRODUCTS AND SERVICES, 1 HOURS/MONTH, 1 HOURS/MONTH DURING TRADING HOURS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Austin Lee Frazier'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®

CFP^®

Certified Financial Planner

Start date: 2020

Experience

Current

September 28, 2022 - Present

CAPITAL STRATEGIES GROUP, LLC

Office #1: 2151 E. Baseline Road Suite 101, Tempe, AZ 85283

RIA

CRD#: 140120

Tempe, AZ

Past

August 28, 2018 - September 19, 2022

VANGUARD ADVISERS, INC.

RIA

CRD#: 106715

SCOTTSDALE, AZ

Past

July 18, 2018 - September 19, 2022

VANGUARD MARKETING CORPORATION

CRD#: 7452

SCOTTSDALE, AZ

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

Arizona
(9/28/2022)

IAR

Texas
(8/17/2023)

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 66

Date: 7/31/2018

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/18/2018

General Securities Representative Examination

Current Firm

CAPITAL STRATEGIES GROUP, LLC

CRD#: 140120 / SEC#: 801-69268

RIA

Registered Investment Advisory firm - (7/16/2012 Terminated)

Arizona

Registered Investment Advisory firm - (6/7/2012 Approved)

Texas

Registered Investment Advisory firm - (8/16/2023 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

2151 E. Baseline Road Suite 101, Tempe, AZ 85283

Mailing Address

Phone number

(480) 635-4050

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	410
AUM (Assets Under Management)	$ 89,564,631

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.

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Austin L. Frazier

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Austin Lee Frazier's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAPITAL STRATEGIES GROUP, LLC

VANGUARD ADVISERS, INC.

VANGUARD MARKETING CORPORATION

State Registrations and Notice Filings

Exams

Series 66

Date: 7/31/2018

SIE

Date: 10/1/2018

Series 7

Date: 7/18/2018

Current Firm

CAPITAL STRATEGIES GROUP, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

CAPITAL STRATEGIES GROUP, LLC

TRUST BUT VERIFY

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