Thomas Austin, financial advisor Fairlawn OH
86 score

Thomas Austin

CRD Number: 1959580
Current Firm: Citizens Securities, Inc.

Thomas Austin (CRD# 1959580) is an Investment Advisor Representative working at Citizens Securities, Inc. in Fairlawn, OH and has over 23 years of experience in the finance industry. Thomas Austin has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Cco Investment Services Corp. Mentor On The Lake, OH Jun 2011 - Current 5
The Huntington Investment Company Columbus, OH May 2009 - Jun 2011 2
U.s. Bancorp Investments, Inc. Fremont, OH Dec 2008 - May 2009 < 1
Fifth Third Securities Sylvania, OH Aug 2005 - Dec 2008 3
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Apr 1993
S65 NASAA Investment Advisors Law Examination Nov 2009
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Thomas E. Austin
Phone Number: 1-800-942-8300
Registered State(s):
  • OH
By the Numbers
  • Total Assets Under Management
    27,379
    MILLIONS
  • Total Number of Accounts
    19,253
    ACCOUNTS
  • Average Account Value
    $1,422,068
Compensation Options
  • A percentage of assets under your management
Advisory Services Offered
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AL, AZ, CA, CO, CT, DE, FL, GA, HI, IA, ID, IL, IN, KY, LA, MD, ME, MI, MN, MO, MS, NC, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
86

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