AG
Austin Gais
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CRD#: 7445082
AG
Professional summary
Austin Gais was a registered financial professional .
Austin is registered as a RR (Registered Representative) and started their career in finance in 2021. Austin had worked at 2 firms and has passed the Series 63, Series 6TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
June 7, 2024 - October 1, 2024
PFM FUND DISTRIBUTORS, INC.
BD
CRD#: 114474
DENVER, CO
Past
October 15, 2021 - August 7, 2023
RFS PARTNERS
BD
CRD#: 18119
DENVER, CO
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
Colorado(10/1/2024)
RR
Idaho(10/1/2024)
RR
Wyoming(10/1/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 10/15/2021
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
PF
PFM FUND DISTRIBUTORS, INC.
PFM FUND DISTRIBUTORS, INC. | PFMAM, INC.
CRD#: 114474 / SEC#: , 8-53496
BD
Terminated by SEC on 12/06/2024
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Contact information
Main Address
Mailing Address
Phone number
Established
Pennsylvania since 07/16/2001
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
Documents
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.
