Thomas AustinCRD 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.
Strategic Wealth Partners, Ltd.
Raymond James & Associates, Inc.
|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|
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
Total Assets Under Management27,379MILLIONS
Total Number of Accounts19,253ACCOUNTS
Average Account Value$1,422,068
- A percentage of assets under your management
- Selection of other advisers (including private fund managers)
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