Austin James Roesler
Professional Summary
Austin James Roesler, who also goes by Austin J Roesler, is a registered financial advisor currently at BAKERAVENUE located in Southlake, Texas. Austin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. Austin has worked at 4 firms and has passed the Series 66, Series 7TO, SIE, Series 10 and Series 9 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Austin James Roesler, Austin J Roesler
Similar Advisors
BRAZOS WEALTH ADVISORS LLC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
EDWARD JONES
LPL FINANCIAL LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
BRAZOS WEALTH ADVISORS LLC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
EDWARD JONES
LPL FINANCIAL LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
BRAZOS WEALTH ADVISORS LLC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
EDWARD JONES
LPL FINANCIAL LLC
Disclosures on record.
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
BRAZOS WEALTH ADVISORS LLC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
EDWARD JONES
LPL FINANCIAL LLC
Years of Experience
7 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
BRAZOS WEALTH ADVISORS LLC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
EDWARD JONES
LPL FINANCIAL LLC
Current Firm
BAKER AVENUE ASSET MANAGEMENT, LP | SIMONBAKER & PARTNERS LLC (RELYING ADVISER) | IRONWOOD CAPITAL MANAGEMENT, LLC | BAKERAVENUE WEALTH MANAGEMENT | BAKERAVENUE
Contact Information
Main Address
One Embarcadero Center Ste 2530, San Francisco, CA 94111Phone Number
(415) 986-1110# of Employees
66SEC notice filing (29 States and Territories)
Registered to provide investment advisory services in 29 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
4,200AUM (Assets Under Management)
$7,724,862,152Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 05/20/2026 | Cover Page | Report |
| 08/05/2025 | Cover Page | Report |
| 08/28/2024 | Cover Page | Report |
| 04/02/2024 | Cover Page | Report |
Similar Advisors
BRAZOS WEALTH ADVISORS LLC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
EDWARD JONES
LPL FINANCIAL LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
BRAZOS WEALTH ADVISORS LLC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
EDWARD JONES
LPL FINANCIAL LLC
Primary Firm SEC Registration
BAKER AVENUE ASSET MANAGEMENT, LP | SIMONBAKER & PARTNERS LLC (RELYING ADVISER) | IRONWOOD CAPITAL MANAGEMENT, LLC | BAKERAVENUE WEALTH MANAGEMENT | BAKERAVENUE
State Registrations and Notice Filings
(11/11/2025)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Jan 2024About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Dec 2023About the Series 9 examSimilar Advisors
BRAZOS WEALTH ADVISORS LLC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
EDWARD JONES
LPL FINANCIAL LLC
CRS (Client Relationship Summary) - RIA
Click below to view Austin James Roesler's CRS (Customer Relationship Summary).
Similar Advisors
BRAZOS WEALTH ADVISORS LLC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
EDWARD JONES
LPL FINANCIAL LLC