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John Austin

Austin Wealth Management, LLC

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Paladin Registry Member

This advisor or firm is a vetted, documented member of the Paladin Registry.

Advisors and firms must meet Paladin’s rigorous admittance requirements to qualify for membership in the Registry.

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Paladin Research Report For:

John Austin

Austin Wealth Management, LLC

John Austin, a financial fiduciary has been a Paladin Registry member since 2019. John holds the Accredited Investment Fiduciary , Certified Financial Planner certifications and has over 43 years of experience. John provides financial services to clients in the Brookeville, Maryland area.

I. Snapshot

A. Registry Member
  • Since 2019
B. Years of Experience
  • 43
C. College Degrees
  • Eisenhower College of Rochester Institute of Technology (RIT) - AB
  • Thunderbird School of Global Management at Arizona State University (ASU) - MIM
D. Certifications
  • AIF®, CFP®
E. Financial Fiduciary
  • Yes
F. Business Philosophy
  • Read Business Philosophy

    Karl Marx, the father of communism, wrote about the division of land, labor and capital in 1844. Karl almost had it right. Land is just a form of capital. There is really just labor and capital. In fact, one could say that there's really just labor. Capital is simply a store of value created by applying labor to capital. As the storage vessel of the blood, sweat and tears spent to create wealth, capital is a precious gift, which should be put to its highest and best use. If you have it, you are a steward and that stewardship is a sacred trust. We are also stewards of capital.

G. Asset Requirement
  • $1,000,000

II. Contact Information

A. Key Contact
  • Did Not Answer
B. Main Location
  • 21840 New Hampshire Avenue
    Brookeville, Maryland, 20833
C. Telephone
  • 301.774.0670
D. Comments
  • Branch office in Northern Virginia

III. Internet

A. Visit Website

IV. Firm(s)

A. Name of Firm
  • Austin Wealth Management, LLC
B. Relationship to Firm
  • Independent Contractor
C. Name of RIA
  • Cetera Advisor Networks LLC
D. Name of Broker/Dealer
  • Cetera Advisor Networks LLC
E. Name(s) of Custodian(s)
  • Pershing, LLC
F. Comments
  • Cetera Advisor Networks LLC, member FINRA/SIPC Cetera is under separate ownership from any other named entity.

V. Credentials

A. Years of Financial Experience
  • 43 Years
B. College, Degrees, Years
  • Eisenhower College of Rochester Institute of Technology (RIT) - AB
  • Thunderbird School of Global Management at Arizona State University (ASU) - MIM
D. Financial Industry Associations (Active Memberships)
  • Financial Planning Association (FPA)
  • Financial Services Institute (FSI)

VI. Registration, Licensing,
Compliance

A. RIA/IAR Registration
  • IAR
B. Type of RIA Registration
  • SEC
C. Industry Licenses
  • Securities License(s)
  • Insurance License(s)
D. Registration & License Numbers
  • CRD: 844826
  • IARD: 13572
  • Insurance: 35284
E. State Licences
  • Financial Advice, Services for Fees: See List
    • Arizona
    • California
    • Colorado
    • Delaware
    • District of Columbia
    • Florida
    • Louisiana
    • Maryland
    • New York
    • Ohio
    • Texas
    • Vermont
    • Virginia
  • Investment Products for Commission: See List
    • Arizona
    • California
    • Colorado
    • Delaware
    • District of Columbia
    • Florida
    • Louisiana
    • Maryland
    • New York
    • Ohio
    • Texas
    • Vermont
    • Virginia
  • Insurance Products for Commission: See List
    • Maryland
    • Virginia
F. Compliance Record (Investment)
  • No Disclosures
G. Compliance Record (Insurance)
  • No Disclosures
H. Criminal Disclosure(s)
  • None
I. Additional Disclosure(s)
  • None
J. View our ADV(s)
  • Available Upon Request
K. Links

VII. Business Data & Practices

A. Business Philosophy
  • Read Business Philosophy

    Karl Marx, the father of communism, wrote about the division of land, labor and capital in 1844. Karl almost had it right. Land is just a form of capital. There is really just labor and capital. In fact, one could say that there's really just labor. Capital is simply a store of value created by applying labor to capital. As the storage vessel of the blood, sweat and tears spent to create wealth, capital is a precious gift, which should be put to its highest and best use. If you have it, you are a steward and that stewardship is a sacred trust. We are also stewards of capital.

B. Minimum Asset Requirement
  • $1,000,000
C. Number of Current Clients
  • 250
D. Assets (Management, Advisement)
  • Available Upon Request
E. Methods of Compensation
  • Hourly Fee
  • Fixed Fee
  • Asset-Based Fee
  • Commissions (Investment Products)
  • Commissions (Insurance Products)
F. Methods of Communication
  • Face-to-Face Meetings
  • Telephone
  • Email
  • Skype/Voice
  • Skype/Video-Voice
G. Types of Reports (Frequency)
  • Performance (Quarterly)
  • Brokerage Statement (Monthly)
  • Market Environment (Quarterly)
  • Newsletters (Quarterly)
H. Second Language(s)
  • Portuguese
I. Value Statement
  • View Value Statement
    Our value proposition is simple: four decades of experience combined with independence, integrity, objectivity and leading edge tools and knowledge means we are well prepared to help you meet your goals and objectives.

VIII. Clients & Services

A. Types of Clients
  • Individuals & Couples (Working)
  • Individuals & Couples (Retired)
  • Business Pension Plans
  • Business (Taxable)
  • Endowments & Foundations
B. Types of Financial Services
  • Planning Advice & Services
  • Investment Advice & Services
  • Insurance Products
  • Investment Products (Commission)
C. Discretionary Asset Management
  • Discretionary and Non-Discretionary
D. Limited Engagement Services
  • Planning Only
  • Financial Plan Reviews
  • Investment Portfolio Reviews

IX. Certification

Advisor Name
  • John Austin
Most Recent Update:
  • May 6, 2019

BASIC INFORMATION NEEDED FOR THE INQUIRY

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