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CFP
RA
CFP

Roberto Austin

J.P. Morgan Securities LLC
19 Years of Experience
Fountain Valley, CA
Broker
View SEC Summary
View SEC Summary

Roberto Austin is a CFP-designated registered investment advisor at J.P. Morgan Securities LLC, based in Fountain Valley, CA, with 19 years of industry experience. Roberto is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning, Socially Responsible Investing. Their firm serves 1,246,646 clients with $430B in assets under management.

J.P. Morgan Securities LLC
Compensation
Fee-Only (% of Portfolio)
Firm Size
14163 advisors
Number of Clients
1,246,646 clients
Average Client Portfolio
$345K average
Assets Under Management
$429.7B

Fee Structure

Minimum Investment:$25K
Planning is included in investment management
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $250K0.60%
$250K+0.50%

Clients with $1,000,000 or more as of May 31, 2024, continue to pay 0.40%.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

18975 Brookhurst Street, Fountain Valley, CA, 92708

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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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Other Business Activities

Roberto resells new and used clothing and other merchandise via e-commerce websites, dedicating about a quarter of his time to this activity. He also owns rental property, spending minimal time on it.

Employment History
Current Registrations
J.P. Morgan Securities LLCBroker
November 2014 - Present · 11 yrs 11 mos
J.P. Morgan Securities LLC
November 2014 - Present · 11 yrs 11 mos
Previous Registrations
Ameriprise Financial Services, INC.
July 2012 - November 2014 · 2 yrs 4 mos
Ameriprise Financial Services, INC.Broker
July 2012 - November 2014 · 2 yrs 4 mos
LPL Financial LLC
June 2008 - May 2012 · 3 yrs 11 mos
LPL Financial LLCBroker
June 2008 - May 2012 · 3 yrs 11 mos
Pruco Securities, LLC.Broker
December 2006 - April 2008 · 1 yr 4 mos
State Registrations20 states
AZCACOFLGAHILAMAMTNCNENVOKORPATNTXUTWAWI
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.
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