Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen D. Austin is a financial advisor with over 6 years of experience. He is a registered representative and investment advisor representative with Independent Advisor Alliance, LLC. Stephen also has prior experience with PARK AVENUE SECURITIES LLC, LPL Financial LLC, First Commerce Credit Union and Guardian Life Insurance CO. Stephen has passed the Series 6, 7, 63 and 65 exams. He is a registered investment advisor in Florida, Georgia, Alabama, Louisiana, Michigan, New York and Texas. He provides financial planning, portfolio management and other services to individuals, corporations, trusts, businesses, pension plans and charities.
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.
Comprehensive financial plans to help you achieve your personal and business 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.
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.
A percentage of the total value of assets under management is charged.
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FL
07/08/2019 - Present
Independent Advisor Alliance, LLC (TALLAHASSEE FL)
FL
03/17/2015 - 07/21/2017
PARK AVENUE SECURITIES LLC (TALLAHASSEE FL)
IA
Issued 09/05/2017
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/01/2015
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/09/2017
Series 7 - General Securities Representative Examination
BC
Issued 03/17/2015
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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