AS
Austin J. Small
STRATEGIC ADVISERS LLC
CHANDLER, AZ 85226
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CRD#: 7427965
AS
Professional summary
Austin James Small, who also goes by Austin James Small, is a registered financial advisor currently at STRATEGIC ADVISERS LLC located in Chandler, Arizona and FIDELITY BROKERAGE SERVICES LLC located in Chandler, Arizona.
Austin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Austin has worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Austin James Small
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 James Small'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 31, 2025 - Present
STRATEGIC ADVISERS LLC
Office #1: 3100 West Ray Road Suite 334, Chandler, AZ 85226Office #3: 7001 West Ray Road Chandler Pavilions, Chandler, AZ 85226RIA
CRD#: 104555
CHANDLER, AZ
Current
June 20, 2023 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 7001 West Ray Road Chandler Pavilions, Chandler, AZ 85226Office #2: 3100 West Ray Road Suite 201, Chandler, AZ 85226BD
CRD#: 7784
Chandler, AZ
Past
July 17, 2023 - March 31, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
CHANDLER, AZ
Past
November 2, 2021 - May 8, 2023
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
Las Vegas, NV
Past
September 15, 2021 - May 8, 2023
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
Las Vegas, NV
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".
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
CRD#: 104555 / SEC#: 801-13243
RIA
Registered Investment Advisory firm - (8/11/1977 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
Arizona(7/5/2023)
IAR
Arizona(3/31/2025)
RR
California(6/20/2023)
RR
Colorado(6/20/2023)
RR
Iowa(4/3/2025)
RR
Nevada(6/20/2023)
RR
New Mexico(6/20/2023)
RR
Tennessee(8/14/2025)
RR
Texas(6/20/2023)
IAR
Texas(3/31/2025)
RR
Utah(6/20/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 9/15/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
New York Stock Exchange
Current Firm
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
CRD#: 104555 / SEC#: 801-13243
RIA
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Contact information
Main Address
155 Seaport Blvd, Boston, MA 02210-2698
Mailing Address
Phone number
(617) 563-7000
Established
Firm type
Fiscal year end
# of Employees
16,291
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,486,631 |
| AUM (Assets Under Management) | $ 1,067,664,605,590 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
STRATEGIC ADVISERS LLC
CRD#: 104555Chandler, AZ 85226TRUST BUT VERIFY
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