Austin C. Germain

Some features on this profile are disabled

CRD#: 7025815

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Austin Charles Germain, who also goes by Austin C Germain, Austin Charles Germain, was a registered financial professional .

Austin is a previously registered financial professional and started their career in finance in 2019. Austin had worked at 6 firms and has passed the Series 63, Series 65, Series 6TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Austin C Germain | Austin Charles Germain

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 15, 2023 - March 23, 2026

PRIVATE CAPITAL MANAGEMENT

RIA

CRD#: 169172

NAPLES, FL

Past

March 13, 2023 - March 23, 2026

CARNES CAPITAL CORPORATION

CRD#: 16187

NAPLES, FL

Past

March 28, 2022 - March 9, 2023

NORTHERN LIGHTS DISTRIBUTORS, LLC

CRD#: 126159

ELKHORN, NE

Past

April 19, 2021 - March 20, 2023

ASCENDANT CAPITAL MANAGEMENT, LLC

RIA

CRD#: 174260

LOS ANGELES, CA

Past

March 31, 2021 - January 31, 2022

NORTHERN LIGHTS DISTRIBUTORS, LLC

CRD#: 126159

ELKHORN, NE

Past

April 8, 2019 - January 25, 2021

EQUITY INVESTMENT CORP

RIA

CRD#: 283930

ATLANTA, GA

Past

March 8, 2019 - January 22, 2021

FORESIDE FUNDS DISTRIBUTORS LLC

CRD#: 31334

ATLANTA, GA

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".

PRIVATE CAPITAL MANAGEMENT

CRD#: 169172 / SEC#: 801-78615

RIA

Registered Investment Advisory firm - (9/30/2013 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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

Series 63

Date: 4/18/2019

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 4/8/2019

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 6TO

Date: 3/8/2019

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 1/25/2019

Securities Industry Essentials Examination

Current Firm

PRIVATE CAPITAL MANAGEMENT

CRD#: 169172 / SEC#: 801-78615

RIA

Registered Investment Advisory firm - (9/30/2013 Approved)

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

8889 Pelican Bay Blvd. Suite 500, Naples, FL 34108-7512

Mailing Address

Phone number

(239) 254-2500

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (37 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PCM FORM ADV PART 2A (3/20/2025)

Regulatory assets under management

Total Number of Accounts	420
AUM (Assets Under Management)	$ 1,346,803,883

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

Guy Peel

OSAIC WEALTH, INC.

IAR

Helena, MT

Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

IAR

Estero, FL

Jeffrey Meotti

MORGAN STANLEY

IAR

MADISON, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Austin C. Germain

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PRIVATE CAPITAL MANAGEMENT

CARNES CAPITAL CORPORATION

NORTHERN LIGHTS DISTRIBUTORS, LLC

ASCENDANT CAPITAL MANAGEMENT, LLC

NORTHERN LIGHTS DISTRIBUTORS, LLC

EQUITY INVESTMENT CORP

FORESIDE FUNDS DISTRIBUTORS LLC

Primary Firm SEC Registration

PRIVATE CAPITAL MANAGEMENT

State Registrations and Notice Filings

Exams

Series 63

Date: 4/18/2019

Series 65

Date: 4/8/2019

Series 6TO

Date: 3/8/2019

SIE

Date: 1/25/2019

Current Firm

PRIVATE CAPITAL MANAGEMENT

Contact information

SEC notice filing (37 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PRIVATE CAPITAL MANAGEMENT

TRUST BUT VERIFY

Similar Advisors