Austin J. Russell

LAKESHIRE FINANCIAL

Salt Lake City, UT

Some features on this profile are disabled

CRD#: 6891018

Professional summary

Austin Joseph Russell, CFP®, who also goes by Austin Russell, is a registered financial advisor currently at LAKESHIRE FINANCIAL located in Salt Lake City, Utah.

Austin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Austin has worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Austin Russell

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 Joseph Russell'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: 2021

Experience

Current

January 21, 2020 - Present

LAKESHIRE FINANCIAL

RIA

CRD#: 305610

Salt Lake City, UT

Past

January 16, 2018 - April 25, 2019

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

AMERICAN FORK, UT

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

Utah
(1/21/2020)

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

State Security Law Exam

IAR

Series 65

Date: 8/9/2019

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/26/2018

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: 1/16/2018

General Securities Representative Examination

Current Firm

LAKESHIRE FINANCIAL

LAKESHIRE FINANCIAL | LAKESHIRE FINANCIAL, LLC

CRD#: 305610 / SEC#:

Utah

Registered Investment Advisory firm - (1/21/2020 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

Salt Lake City, UT

Mailing Address

Phone number

(801) 867-5967

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Austin J. Russell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

LAKESHIRE FINANCIAL

FIDELITY BROKERAGE SERVICES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/9/2019

Series 63

Date: 1/26/2018

SIE

Date: 10/1/2018

Series 7

Date: 1/16/2018

Current Firm

LAKESHIRE FINANCIAL

Contact information

Documents

Red Flags

Company Information

LAKESHIRE FINANCIAL

TRUST BUT VERIFY

Similar Advisors