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Austin S. Ellert

HOVDE GROUP
Inverness, IL 60067
Some features on this profile are disabled
CRD#: 6671090
AE

Professional summary

Austin Smith Ellert is a registered financial professional currently at HOVDE GROUP, LLC located in Inverness, Illinois.

Austin is registered as a RR (Registered Representative) and started their career in finance in 2016. Austin has worked at 1 firm and has passed the Series 63, SIE and Series 79 exams.

top-8-questions

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) - BD

Click below to view Austin Smith Ellert'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®
None

Experience

Current

September 1, 2016 - Present

HOVDE GROUP, LLC

Office #1: 1629 Colonial Parkway, Inverness, IL 60067
BD
CRD#: 25425
Inverness, IL

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Missouri
(8/14/2024)
RR
Texas
(2/27/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 9/26/2016
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 9/1/2016
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

HG
HOVDE GROUP, LLC
HOVDE GROUP, LLC | HOVDE SECURITIES, INC. | HOVDE SECURITIES LLC

CRD#: 25425 / SEC#: , 8-41597

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
1629 Colonial Parkway, Inverness, IL 60067
Mailing Address
1629 Colonial Parkway, Inverness, IL 60067
Phone number
(847) 991-6622
Established
Delaware since 10/11/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
HOVDE, STEVEN DONALDCHAIRMAN, CHIEF EXECUTIVE OFFICER1907781
BARBARINE, NICKOLAS JOHNSENIOR MANAGING PARTNER2274812
HOVDE, KIRK STEVENMANAGING PARTNER/HEAD OF INVESTMENT BANKING5552791
DAVIS, PATRICIA LYNNCHIEF COMPLIANCE OFFICER5613123
DIJOHN, ANTHONY JOHNCFO/FINOP6370306
HEDREI, MICHAEL STEPHENMANAGING PARTNER/HEAD OF CAPITAL MARKETS4243972

Disclosures

Regulatory Event1

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

HOVDE GROUP, LLC

CRD#: 25425Inverness, IL 60067

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