Austin J. Roesler

BAKERAVENUE

Southlake, TX 76092

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CRD#: 7111153

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.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Austin J Roesler

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) - RIA

Click below to view Austin James Roesler'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

November 11, 2025 - Present

BAKERAVENUE

Office #1: 550 Reserve St #150, Southlake, TX 76092

RIA

CRD#: 132657

Southlake, TX

Past

July 21, 2023 - November 9, 2025

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Westlake, TX

Past

July 11, 2023 - November 9, 2025

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Westlake, TX

Past

July 11, 2023 - September 2, 2023

TD AMERITRADE, INC.

CRD#: 7870

Westlake, TX

Past

January 4, 2023 - May 1, 2023

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

Plano, TX

Past

January 4, 2023 - May 1, 2023

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Plano, TX

Past

February 8, 2021 - August 12, 2021

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

Minneapolis, MN

Past

November 5, 2020 - August 12, 2021

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Minneapolis, MN

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".

BAKERAVENUE

BAKER AVENUE ASSET MANAGEMENT, LP | SIMONBAKER & PARTNERS LLC (RELYING ADVISER) | IRONWOOD CAPITAL MANAGEMENT, LLC | BAKERAVENUE WEALTH MANAGEMENT | BAKERAVENUE

CRD#: 132657 / SEC#: 801-63576

RIA

Registered Investment Advisory firm - (10/18/2004 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
(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

State Security Law Exam

IAR

Series 66

Date: 2/5/2021

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 11/5/2020

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 8/30/2019

Securities Industry Essentials Examination

Principal/Supervisory Exam

Series 10

Date: 1/25/2024

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 12/6/2023

General Securities Sales Supervisor - Options Module Examination

Current Firm

BAKERAVENUE

BAKER AVENUE ASSET MANAGEMENT, LP | SIMONBAKER & PARTNERS LLC (RELYING ADVISER) | IRONWOOD CAPITAL MANAGEMENT, LLC | BAKERAVENUE WEALTH MANAGEMENT | BAKERAVENUE

CRD#: 132657 / SEC#: 801-63576

RIA

Registered Investment Advisory firm - (10/18/2004 Approved)

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Contact information

Main Address

One Embarcadero Center Ste 2530, San Francisco, CA 94111

Mailing Address

Phone number

(415) 986-1110

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (28 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2 (8/5/2025)

Regulatory assets under management

Total Number of Accounts	3,138
AUM (Assets Under Management)	$ 3,771,014,366

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/05/2025	Cover Page	Report
08/28/2024	Cover Page	Report
04/02/2024	Cover Page	Report
03/14/2023	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.

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Austin J. Roesler

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Austin James Roesler's CRS (Customer Relationship Summary).

Certified licenses

Experience

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

TD AMERITRADE, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

BAKERAVENUE

State Registrations and Notice Filings

Exams

Series 66

Date: 2/5/2021

Series 7TO

Date: 11/5/2020

SIE

Date: 8/30/2019

Series 10

Date: 1/25/2024

Series 9

Date: 12/6/2023

Current Firm

BAKERAVENUE

Contact information

SEC notice filing (28 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

BAKERAVENUE

TRUST BUT VERIFY

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