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AF

Austin E. Feldman

FELDMAN, INGARDONA & CO.
Downers Grove, IL 60515
Some features on this profile are disabled
CRD#: 7426813
AF

Professional summary

Austin Edgar Lee Feldman, who also goes by Austin Feldman, is a registered financial advisor currently at FELDMAN, INGARDONA & CO. located in Downers Grove, Illinois.

Austin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Austin has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Austin Feldman

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 Edgar Lee Feldman'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 22, 2024 - Present

FELDMAN, INGARDONA & CO.

Office #1: 2001 Butterfield Rd Ste 170, Downers Grove, IL 60515
RIA
CRD#: 29449
Downers Grove, IL
Past

December 2, 2021 - April 26, 2024

EQUITABLE ADVISORS, LLC

RIA
CRD#: 6627
SAN DIEGO, CA
Past

November 23, 2021 - April 26, 2024

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
SAN DIEGO, CA

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".
FI
FELDMAN, INGARDONA & CO.
FELDMAN, INGARDONA & CO | W.M. FELDMAN & CO., INC. | FELDMAN, MCCRACKEN & CO. | FELDMAN, INGARDONA & CO.

CRD#: 29449 / SEC#: 801-55072, 8-44339

RIA
Registered Investment Advisory firm - SEC (12/1/1997 Approved)
BD
Terminated by SEC on 11/07/2021

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
Illinois
(5/22/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/16/2021
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 11/23/2021
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 7/16/2021
Securities Industry Essentials Examination

Current Firm

FI
FELDMAN, INGARDONA & CO.
FELDMAN, INGARDONA & CO | W.M. FELDMAN & CO., INC. | FELDMAN, MCCRACKEN & CO. | FELDMAN, INGARDONA & CO.

CRD#: 29449 / SEC#: 801-55072, 8-44339

RIA
Registered Investment Advisory firm - SEC (12/1/1997 Approved)
BD
Terminated by SEC on 11/07/2021
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Contact information

Main Address
2001 Butterfield Rd Ste 170, Downers Grove, IL 60515
Mailing Address
Phone number
(630) 663-1800
Established
Illinois since 02/27/1997
Firm type
Corporation
Fiscal year end
June
# of Employees
6

SEC notice filing (11 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FELDMAN, INGARDONA & CO. FORM ADV - PART 2A (9/16/2025)

Direct owners and executive officers

NamePositionCRD#
FELDMAN, WILLIAM MORLEYCHAIRMAN & CHIEF EXECUTIVE OFFICER & CHIEF COMPLIANCE OFFICER1307358
INGARDONA, ALEX MICHAELPRESIDENT & CHIEF OPERATING OFFICER1303711
HART, TIMOTHY MVICE PRESIDENT2009179

Regulatory assets under management

Total Number of Accounts188
AUM (Assets Under Management)$ 1,733,566,000

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
09/02/2025
Cover Page
Report
12/12/2024
Cover Page
Report
11/06/2023
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.

Company Information

FELDMAN, INGARDONA & CO.

CRD#: 29449Downers Grove, IL 60515

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