Austin Nelson

TOPTIER WEALTH MANAGEMENT

Bradenton, FL

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CRD#: 6608943

Professional summary

Austin Nelson, CFP® is a registered financial advisor currently at TOPTIER WEALTH MANAGEMENT located in Bradenton, Florida.

Austin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Austin has worked at 2 firms .

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

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

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: 2015

Experience

Current

March 8, 2018 - Present

TOPTIER WEALTH MANAGEMENT

RIA

CRD#: 292959

Bradenton, FL

Past

April 4, 2016 - March 28, 2018

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

Zeeland, MI

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".

TOPTIER WEALTH MANAGEMENT

CRD#: 292959 / SEC#: 801-132252

RIA

Registered Investment Advisory firm - (3/26/2025 Approved)

Florida

Registered Investment Advisory firm - (4/4/2025 Terminated)

Michigan

Registered Investment Advisory firm - (4/8/2025 Terminated)

Texas

Registered Investment Advisory firm - (4/4/2025 Terminated)

Wisconsin

Registered Investment Advisory firm - (4/15/2025 Terminated)

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).

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

Florida
(5/29/2019)

IAR

Michigan
(3/8/2018)

IAR

Texas
(3/8/2018)

IAR

Wisconsin
(9/4/2020)

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

Current Firm

TOPTIER WEALTH MANAGEMENT

CRD#: 292959 / SEC#: 801-132252

RIA

Registered Investment Advisory firm - (3/26/2025 Approved)

Florida

Registered Investment Advisory firm - (4/4/2025 Terminated)

Michigan

Registered Investment Advisory firm - (4/8/2025 Terminated)

Texas

Registered Investment Advisory firm - (4/4/2025 Terminated)

Wisconsin

Registered Investment Advisory firm - (4/15/2025 Terminated)

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Contact information

Main Address

Muskego, WI

Mailing Address

Phone number

(262) 989-8551

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TOPTIER WEALTH MANAGEMENT DISCLOSURE BROCHURE (6/3/2025)

Regulatory assets under management

Total Number of Accounts	345
AUM (Assets Under Management)	$ 135,269,993

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 Nelson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

TOPTIER WEALTH MANAGEMENT

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

Primary Firm SEC Registration

TOPTIER WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Current Firm

TOPTIER WEALTH MANAGEMENT

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TOPTIER WEALTH MANAGEMENT

TRUST BUT VERIFY

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