Richard Austin is a registered investment advisor, based in Charlotte, NC, with 12 years of industry experience.
Location
5605 Carnegie Boulevard - Suite 400, Charlotte, NC, 28209
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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.
Learn about disclosures →Employment History
Current Registrations
Capfinancial Securities, LLC.Broker
May 2025 - Present · 1 yr
Captrust
March 2025 - Present · 1 yr 2 mos
Previous Registrations
Carolinas Wealth Consulting LLC
May 2019 - July 2025 · 6 yrs 2 mos
Carolinas Investment Consulting LLC
July 2013 - April 2001 · 0 mos
Carolinas Investment Consulting LLCBroker
April 2013 - May 2025 · 12 yrs 1 mo
State Registrations1 state
NC
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.