RA
RA

Richard Austin

9 Years of Experience
Montgomery, AL
Broker

Richard Austin is a registered investment advisor at Raymond James & Associates, INC., based in Montgomery, AL, with 9 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 531,617 clients with $500B in assets under management.

Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5669 advisors
IM Fee
Planning only
Assets Under Management
$501.0B

Fee Structure

Investment management only (planning not offered)
Hourly Rate:Up to $400/hr
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Location

7460 Halcyon Pointe Drive, Suite #101, Montgomery, AL, 36117

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Employment History
Current Registrations
Raymond James & Associates, INC.
August 2021 - Present · 4 yrs 11 mos
Raymond James & Associates, INC.Broker
August 2021 - Present · 4 yrs 11 mos
Previous Registrations
UBS Financial Services INC.
October 2014 - October 2019 · 5 yrs
UBS Financial Services INC.Broker
September 2014 - October 2019 · 5 yrs 1 mo
State Registrations4 states
ALFLGAWA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.