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AG

Austin C. Germain

REGIONAL INVESTMENT SERVICES
Orlando, FL 32801
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 professional currently at REGIONAL INVESTMENT SERVICES, INC. located in Orlando, Florida.

Austin is registered as a RR (Registered Representative) and started their career in finance in 2019. Austin has worked at 7 firms and has passed the Series 63, Series 65, Series 6TO and SIE exams.

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view Austin Charles Germain'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®
None

Experience

Current

May 19, 2026 - Present

REGIONAL INVESTMENT SERVICES, INC.

Office #1: 333 S Garland Ave. Suite 1500, Orlando, FL 32801
BD
CRD#: 46929
Orlando, FL
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

BD
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

State Registrations and Notice Filings

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

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
Arkansas
(5/19/2026)
RR
California
(5/19/2026)
RR
District of Columbia
(5/19/2026)
RR
Florida
(5/19/2026)
RR
Georgia
(5/19/2026)
RR
Louisiana
(5/19/2026)
RR
Maryland
(5/19/2026)
RR
Massachusetts
(5/19/2026)
RR
Michigan
(5/19/2026)
RR
New York
(5/19/2026)
RR
North Carolina
(5/20/2026)
RR
Ohio
(5/20/2026)
RR
Pennsylvania
(5/19/2026)
RR
South Carolina
(5/19/2026)
RR
Tennessee
(5/19/2026)
RR
Texas
(5/19/2026)
RR
Virginia
(5/19/2026)

Exams

State Security Law Exam
RR
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
RR
Series 6TO
Date: 3/8/2019
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 1/25/2019
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

RI
REGIONAL INVESTMENT SERVICES, INC.
REGIONAL INVESTMENT SERVICES, INC.

CRD#: 46929 / SEC#: , 8-51588

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
2101 Park Center Drive Suite 290, Orlando, FL 32835
Mailing Address
2101 Park Center Drive Suite 290, Orlando, FL 32835
Phone number
(407) 630-8725
Established
Ohio since 01/19/1999
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
LONGEVITY MARKET ADVISORS, LLCOWNER
MCCAULEY, WILLIAM HUGH JRCFO5267440
MCCAULEY, WILLIAM HUGH JRPRESIDENT5267440
MILNE, RALPH AAMLCO6034910
RAND, PAIGE WOODSUMCHIEF COMPLIANCE OFFICER4520907

Disclosures

Arbitration1

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.

Company Information

REGIONAL INVESTMENT SERVICES, INC.

CRD#: 46929Orlando, FL 32801

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