AG
Austin C. Germain
PRIVATE CAPITAL MANAGEMENT
Naples, FL 34108-7512
Some features on this profile are disabled
CRD#: 7025815
AG
Professional summary
Austin Charles Germain, who also goes by Austin C Germain, Austin Charles Germain, is a registered financial advisor currently at PRIVATE CAPITAL MANAGEMENT located in Naples, Florida and CARNES CAPITAL CORPORATION located in Naples, Florida.
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 6 firms and has passed the Series 63, Series 65, Series 6TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
CRS (Client Relationship Summary) - RIA
Click below to view Austin Charles Germain'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
March 15, 2023 - Present
PRIVATE CAPITAL MANAGEMENT
Office #1: 8889 Pelican Bay Blvd. Suite 500, Naples, FL 34108-7512RIA
CRD#: 169172
Naples, FL
Current
March 13, 2023 - Present
CARNES CAPITAL CORPORATION
Office #1: 8889 Pelican Bay Boulevard, Suite 500, Naples, FL 34108-7512BD
CRD#: 16187
Naples, FL
Past
March 28, 2022 - March 9, 2023
NORTHERN LIGHTS DISTRIBUTORS, LLC
BD
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
BD
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
BD
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".
PC
PRIVATE CAPITAL MANAGEMENT
HARMONIC HEDGED PARTNERS | THE ENTREPRENEURIAL VALUE FUND, L.P. | THE COLLIER FUND, LTD. | PRIVATE CAPITAL WEALTH | PRIVATE CAPITAL MANAGEMENT, LLC | PRIVATE CAPITAL MANAGEMENT | PCM | HARMONIC INVESTORS LLC OPPORTUNITY PARTNERS FUND | HARMONIC INVESTORS LLC NAVIGATOR FUND | HARMONIC INVESTORS LLC HEDGED PARTNERS FUND | HARMONIC INVESTORS LLC FUND I | HARMONIC INVESTORS LLC EXPLORER FUND | HARMONIC INVESTORS LLC EQUITY INCOME PLUS | HARMONIC INVESTORS LLC
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.
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(3/13/2023)
RR
Alaska(3/13/2023)
RR
Arizona(3/13/2023)
RR
Arkansas(3/13/2023)
RR
California(3/13/2023)
RR
Colorado(3/13/2023)
RR
Connecticut(3/13/2023)
RR
Delaware(3/13/2023)
RR
District of Columbia(3/13/2023)
RR
Florida(3/13/2023)
IAR
Florida(3/30/2023)
RR
Georgia(3/13/2023)
RR
Hawaii(3/13/2023)
RR
Idaho(4/17/2023)
RR
Illinois(3/13/2023)
RR
Indiana(3/13/2023)
RR
Iowa(3/13/2023)
RR
Kansas(3/13/2023)
RR
Kentucky(3/13/2023)
RR
Louisiana(3/13/2023)
RR
Maine(3/13/2023)
RR
Maryland(3/13/2023)
RR
Massachusetts(3/13/2023)
RR
Michigan(3/13/2023)
RR
Minnesota(3/13/2023)
RR
Mississippi(3/13/2023)
RR
Missouri(3/13/2023)
RR
Nebraska(3/13/2023)
RR
Nevada(3/13/2023)
RR
New Hampshire(3/13/2023)
RR
New Jersey(3/13/2023)
RR
New Mexico(3/13/2023)
RR
New York(3/13/2023)
RR
North Carolina(3/13/2023)
RR
Ohio(3/15/2023)
RR
Oklahoma(3/13/2023)
RR
Oregon(3/13/2023)
RR
Pennsylvania(3/13/2023)
RR
Puerto Rico(5/16/2024)
RR
Rhode Island(3/13/2023)
RR
South Carolina(3/13/2023)
RR
Tennessee(3/13/2023)
RR
Texas(3/13/2023)
IAR
Texas(3/15/2023)
RR
Utah(3/13/2023)
RR
Vermont(3/13/2023)
RR
Virginia(3/13/2023)
RR
Washington(3/13/2023)
RR
Wisconsin(3/13/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 3/8/2019
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
PC
PRIVATE CAPITAL MANAGEMENT
HARMONIC HEDGED PARTNERS | THE ENTREPRENEURIAL VALUE FUND, L.P. | THE COLLIER FUND, LTD. | PRIVATE CAPITAL WEALTH | PRIVATE CAPITAL MANAGEMENT, LLC | PRIVATE CAPITAL MANAGEMENT | PCM | HARMONIC INVESTORS LLC OPPORTUNITY PARTNERS FUND | HARMONIC INVESTORS LLC NAVIGATOR FUND | HARMONIC INVESTORS LLC HEDGED PARTNERS FUND | HARMONIC INVESTORS LLC FUND I | HARMONIC INVESTORS LLC EXPLORER FUND | HARMONIC INVESTORS LLC EQUITY INCOME PLUS | HARMONIC INVESTORS LLC
CRD#: 169172 / SEC#: 801-78615
RIA
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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
21
SEC notice filing (37 States and Territories)
Documents
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.
