Alexis S. Garza

AUSTIN ASSET

Austin, TX 78731

Some features on this profile are disabled

CRD#: 6960313

Professional summary

Alexis Sabrina Garza, CFP® is a registered financial advisor currently at AUSTIN ASSET located in Austin, Texas.

Alexis is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. Alexis 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.

CFP Board|Investment Related:No|1425 K St NW #800;Washington;DC;20005;United States|Education|Council Member|2023-01-05|HoursPerMonth:Less than 20|HoursSpentduringSecurityTrading:0|I would work with a group of 17 others to serve as a subject matter expert for the CFP� exam. I will help with the development, administration and scoring of the exam. I will have conference calls and meet with them 3 times a year around the time of each exam to discuss relevant business issues, review the upcoming exam, and complete activities required to maintain the item bank.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alexis Sabrina Garza'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

Experience

Current

December 8, 2023 - Present

AUSTIN ASSET

Office #1: 7200 N. Mopac, Suite 315, Austin, TX 78731

RIA

CRD#: 105441

Austin, TX

Past

October 4, 2021 - July 3, 2023

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Austin, TX

Past

October 4, 2021 - July 3, 2023

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Austin, TX

Past

September 16, 2019 - October 19, 2021

TD AMERITRADE, INC.

RIA

CRD#: 7870

Austin, TX

Past

September 16, 2019 - October 19, 2021

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

Austin, TX

Past

August 23, 2019 - October 19, 2021

TD AMERITRADE, INC.

CRD#: 7870

SAN ANTONIO, TX

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".

AUSTIN ASSET

AUSTIN ASSET | JHM CONSULTING, INC. IS NEW FULL LEGAL NAME | JHM CONSULTING, INC. | AUSTIN ASSET MANAGEMENT CO

CRD#: 105441 / SEC#: 801-32217

RIA

Registered Investment Advisory firm - (6/9/1988 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
(12/8/2023)

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: 9/14/2019

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 8/23/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 7/22/2019

Securities Industry Essentials Examination

Current Firm

AUSTIN ASSET

AUSTIN ASSET | JHM CONSULTING, INC. IS NEW FULL LEGAL NAME | JHM CONSULTING, INC. | AUSTIN ASSET MANAGEMENT CO

CRD#: 105441 / SEC#: 801-32217

RIA

Registered Investment Advisory firm - (6/9/1988 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

7200 N. Mopac, Suite 315, Austin, TX 78731

Mailing Address

Phone number

(512) 453-6622

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A SEPTEMBER 2025 (9/10/2025)

Regulatory assets under management

Total Number of Accounts	2,243
AUM (Assets Under Management)	$ 1,666,286,145

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/26/2024	Cover Page	Report
10/21/2022	Cover Page	Report

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

Alexis S. Garza

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alexis Sabrina Garza's CRS (Customer Relationship Summary).

Certified licenses

Experience

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

Primary Firm SEC Registration

AUSTIN ASSET

State Registrations and Notice Filings

Exams

Series 66

Date: 9/14/2019

Series 7TO

Date: 8/23/2019

SIE

Date: 7/22/2019

Current Firm

AUSTIN ASSET

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

AUSTIN ASSET

TRUST BUT VERIFY

Similar Advisors