John A. Szugyi

VICTORY FINANCIAL

Austin, TX 78730

Some features on this profile are disabled

CRD#: 6704282

Professional summary

John Andrew William Szugyi, who also goes by Andrew Szugyi, John Andrew W Szugyi, is a registered financial advisor currently at VICTORY FINANCIAL located in Austin, Texas.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. John has worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Andrew Szugyi | John Andrew W Szugyi

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.

Red Rocks Church Austin; Not Investment Related; Address - 7625 N I35, AUSTIN, TX 78752; Nature - Religious Institution; Position - Technical Director and Youth Pastor; Start Date - 07/01/2021; Hours/Month - 40hrs; Hours/Month During Trading Hours - 0hrs; Duties - Coordinate with parents, students, volunteers, and church staff members to lead weekly meetings for middle school and high school students.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Andrew William Szugyi'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

August 8, 2023 - Present

VICTORY FINANCIAL

Office #1: 6500 River Place Blvd. Bldg. 1, Ste. 203, Austin, TX 78730

RIA

CRD#: 324943

Austin, TX

Past

May 4, 2020 - May 8, 2020

M HOLDINGS SECURITIES, INC.

CRD#: 43285

AUSTIN, TX

Past

October 21, 2019 - August 11, 2023

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

AUSTIN, TX

Past

August 10, 2018 - August 11, 2023

EQUITABLE ADVISORS, LLC

CRD#: 6627

AUSTIN, TX

Past

February 26, 2018 - June 1, 2018

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

Past

October 19, 2016 - February 26, 2018

SCOTTRADE, INC.

CRD#: 8206

WESTMINSTER, CO

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".

VICTORY FINANCIAL

CRD#: 324943 / SEC#: 801-127385

RIA

Registered Investment Advisory firm - (2/24/2023 Approved)

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

Texas
(8/8/2023)

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: 10/19/2019

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/31/2016

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/19/2016

General Securities Representative Examination

Current Firm

VICTORY FINANCIAL

CRD#: 324943 / SEC#: 801-127385

RIA

Registered Investment Advisory firm - (2/24/2023 Approved)

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

6500 River Place Blvd. Bldg. 1, Ste. 203, Austin, TX 78730

Mailing Address

Phone number

(512) 763-7671

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (16 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE FOR VICTORY FINANCIAL GROUP LLC (11/3/2025)

Regulatory assets under management

Total Number of Accounts	4,210
AUM (Assets Under Management)	$ 687,641,583

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

Steven Gallegos

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Austin, TX

Eric Pomerantz

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Austin, TX

Jeffrey Weeks

ATX PORTFOLIO ADVISORS, LLC

IAR

Austin, TX

We're Here To Help

Advisor Monitoring

Firm Stability Insights

John A. Szugyi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Andrew William Szugyi's CRS (Customer Relationship Summary).

Certified licenses

Experience

M HOLDINGS SECURITIES, INC.

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

TD AMERITRADE, INC.

SCOTTRADE, INC.

Primary Firm SEC Registration

VICTORY FINANCIAL

State Registrations and Notice Filings

Exams

Series 66

Date: 10/19/2019

Series 63

Date: 10/31/2016

SIE

Date: 10/1/2018

Series 7

Date: 10/19/2016

Current Firm

VICTORY FINANCIAL

Contact information

SEC notice filing (16 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

VICTORY FINANCIAL

TRUST BUT VERIFY

Similar Advisors