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AG

Austin W. Ganthner

FINANCIAL SECURITY ADVISORY
Virginia Beach, VA 23452
Some features on this profile are disabled
CRD#: 7927866
AG

Professional summary

Austin William Ganthner, who also goes by Austin Ganthner, is a registered financial advisor currently at FINANCIAL SECURITY ADVISORY INC located in Virginia Beach, Virginia and FINANCIAL SECURITY MANAGEMENT, INCORPORATED located in Virginia Beach, Virginia.

Austin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2024. Austin has worked at 2 firms and has passed the Series 65, Series 63, Series 6TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Austin Ganthner

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.
FINANCIAL SECURITY GROUP, INC.; INVESTMENT-RELATED: YES; ADDRESS: 477 VIKING DRIVE, STE 305, VIRGINIA BEACH VA 23452; NATURE OF BUSINESS: LIFE AND HEALTH INSURANCE SALES, FINANCIAL ADVISORY SERVICES; POSITION: AGENT; START DATE: 9/05/2024; APPROX. HRS PER MO: 120; APRROX HRS DURING TRADING HRS: 120; DUTIES: PREPARE QUOTES AND APPLICATIONS FOR LIFE AND HEALTH INSURANCE, PREPARE FINANCIAL PLANS & PROVIDE ADVISORY SERVICES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Austin William Ganthner'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

September 5, 2024 - Present

FINANCIAL SECURITY ADVISORY INC

Office #1: 477 Viking Drive Suite 305, Virginia Beach, VA 23452
RIA
CRD#: 110746
Virginia Beach, VA
Current

June 4, 2024 - Present

FINANCIAL SECURITY MANAGEMENT, INCORPORATED

Office #1: 477 Viking Drive Suite 305, Virginia Beach, VA 23452
BD
CRD#: 43000
Virginia Beach, VA

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".
FS
FINANCIAL SECURITY ADVISORY INC
FINANCIAL SECURITY ADVISORY INC

CRD#: 110746 / SEC#: 801-54496

RIA
Registered Investment Advisory firm - (5/15/1997 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
California
(1/6/2025)
RR
Colorado
(1/6/2025)
RR
Florida
(1/6/2025)
RR
Kansas
(1/6/2025)
RR
Louisiana
(1/6/2025)
RR
Maine
(1/6/2025)
RR
Maryland
(1/6/2025)
RR
New York
(1/6/2025)
RR
North Carolina
(1/6/2025)
RR
Oklahoma
(1/6/2025)
RR
Texas
(1/6/2025)
RR
Virginia
(7/19/2024)
IAR
Virginia
(9/5/2024)
RR
Wisconsin
(1/6/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 8/29/2024
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/19/2024
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 6/4/2024
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 3/7/2024
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

FS
FINANCIAL SECURITY ADVISORY INC
FINANCIAL SECURITY ADVISORY INC

CRD#: 110746 / SEC#: 801-54496

RIA
Registered Investment Advisory firm - (5/15/1997 Approved)
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Contact information

Main Address
477 Viking Drive Suite 305, Virginia Beach, VA 23452
Mailing Address
Phone number
(757) 431-1414
Established
Firm type
Fiscal year end
# of Employees
41

SEC notice filing (26 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

FINANCIAL SECURITY ADVISORY, INC. PART 2A BROCHURE 09262024 (9/30/2024)

Regulatory assets under management

Total Number of Accounts2,904
AUM (Assets Under Management)$ 1,570,635,977

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

FINANCIAL SECURITY ADVISORY INC

CRD#: 110746Virginia Beach, VA 23452

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