AL
Austin W. List
VICTORY CAPITAL MANAGEMENT
San Antonio, TX 78256
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CRD#: 6860714
AL
Professional summary
Austin Wallace List is a registered financial advisor currently at VICTORY CAPITAL MANAGEMENT INC. located in San Antonio, Texas and VICTORY CAPITAL SERVICES, INC. located in San Antonio, Texas.
Austin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Austin has worked at 4 firms and has passed the Series 66, Series 7TO and SIE 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Austin Wallace List'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®
NoneExperience
Current
January 17, 2024 - Present
VICTORY CAPITAL MANAGEMENT INC.
Office #1: 15935 La Cantera Pkwy, San Antonio, TX 78256RIA
CRD#: 106189
San Antonio, TX
Current
January 18, 2024 - Present
VICTORY CAPITAL SERVICES, INC.
Office #1: 15935 La Cantera Parkway, San Antonio, TX 78256BD
CRD#: 37059
San Antonio, TX
Past
June 10, 2020 - September 13, 2023
CAPITAL CLIENT GROUP, INC.
RIA
CRD#: 6247
SAN ANTONIO, TX
Past
April 13, 2020 - September 13, 2023
CAPITAL CLIENT GROUP, INC.
BD
CRD#: 6247
SAN ANTONIO, TX
Past
March 21, 2019 - January 2, 2020
PACER FINANCIAL, INC.
BD
CRD#: 137040
Malvern, PA
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".
VC
VICTORY CAPITAL MANAGEMENT INC.
CEMP | VICTORY SBSF CAPITAL MANAGEMENT | VICTORY NEWBRIDGE CAPITAL MANAGEMENT | VICTORY INCOME INVESTORS | VICTORY GRADISION CAPITAL MANAGEMENT | VICTORY CAPITAL SOLUTIONS | VICTORY CAPITAL MANAGEMENT INC. | VICTORY CAPITAL | VICTORY ADVISORS INC | VICTORY | TRIVALENT INVESTMENTS | THB ASSET MANAGEMENT | SYCAMORE CAPITAL | SOPHUS CAPITAL | RS INVESTMENTS | PIONEER INVESTMENTS | NEWBRIDGE ASSET MANAGEMENT | NEW ENERGY CAPITAL | MUNDER CAPITAL MANAGEMENT | MUNDER CAPITAL | MUNDER | KEY ASSET MANAGEMENT INC | INTEGRITY ASSET MANAGEMENT | INTEGRITY | INCORE CAPITAL MANAGEMENT | EXPEDITION INVESTMENT PARTNERS | DIVERSIFIED EQUITY MANAGEMENT | COMPASS EMP | COMPASS EFFICIENT MODEL PORTFOLIOS
CRD#: 106189 / SEC#: 801-46878
RIA
Registered Investment Advisory firm - (5/10/1994 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.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
Alabama(1/18/2024)
RR
Georgia(1/18/2024)
RR
Mississippi(1/18/2024)
RR
North Carolina(1/18/2024)
RR
South Carolina(1/18/2024)
IAR
Texas(1/17/2024)
RR
Virginia(1/18/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 3/21/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
VC
VICTORY CAPITAL MANAGEMENT INC.
CEMP | VICTORY SBSF CAPITAL MANAGEMENT | VICTORY NEWBRIDGE CAPITAL MANAGEMENT | VICTORY INCOME INVESTORS | VICTORY GRADISION CAPITAL MANAGEMENT | VICTORY CAPITAL SOLUTIONS | VICTORY CAPITAL MANAGEMENT INC. | VICTORY CAPITAL | VICTORY ADVISORS INC | VICTORY | TRIVALENT INVESTMENTS | THB ASSET MANAGEMENT | SYCAMORE CAPITAL | SOPHUS CAPITAL | RS INVESTMENTS | PIONEER INVESTMENTS | NEWBRIDGE ASSET MANAGEMENT | NEW ENERGY CAPITAL | MUNDER CAPITAL MANAGEMENT | MUNDER CAPITAL | MUNDER | KEY ASSET MANAGEMENT INC | INTEGRITY ASSET MANAGEMENT | INTEGRITY | INCORE CAPITAL MANAGEMENT | EXPEDITION INVESTMENT PARTNERS | DIVERSIFIED EQUITY MANAGEMENT | COMPASS EMP | COMPASS EFFICIENT MODEL PORTFOLIOS
CRD#: 106189 / SEC#: 801-46878
RIA
Registered Investment Advisory firm - (5/10/1994 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
15935 La Cantera Pkwy, San Antonio, TX 78256
Mailing Address
Phone number
(877) 660-4400
Established
Firm type
Fiscal year end
# of Employees
460
SEC notice filing (45 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,566 |
| AUM (Assets Under Management) | $ 152,291,202,954 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
