Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Austin? Claim Your ProfileAustin G Rosterolla is a registered investment advisor representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Austin has been in the industry since April 17, 2019 and has a wide range of experience, including providing financial advice and managing investment portfolios for both individuals and businesses. Austin also holds Series 7, Series 63, Series 65, and SIE licenses. Austin is registered with the Securities and Exchange Commission (SEC) and is licensed in 53 states and districts.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
OR
04/14/2022 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (CORVALLIS OR)
OR
02/04/2019 - 01/13/2022
WELLS FARGO CLEARING SERVICES, LLC (MCMINNVILLE OR)
IA
Issued 04/11/2019
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/15/2019
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/12/2021
Series 7TO - General Securities Representative Examination
BC
Issued 02/04/2019
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 01/14/2019
SIE - Securities Industry Essentials Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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