Austin Lewis is a CFP-designated registered investment advisor, based in Charlotte, NC, with 12 years of industry experience. Austin is also registered as a broker, so some compensation may come from commissions on products sold.
Location
Charlotte, NC
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Regulatory History
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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Austin works as a tax preparer for Southpark Family Tax LLC since December 2023. This activity takes a few hours per week and is not investment-related.
Employment History
Current Registrations
Wealth Enhancement Brokerage Services, LLCBroker
Wealth Enhancement Advisory Services, LLC
Wealth Enhancement Brokerage Services, LLC
Previous Registrations
Assetmark, INC.
Assetmark Brokerage, LLCBroker
Vanguard Marketing CorporationBroker
Vanguard Advisers, INC.
TD Ameritrade Investment Management, LLC
Charles Schwab & CO., INC.Broker
Schwab Private Client Investment Advisory, INC.
Rooted Financial Planning
Transamerica Financial Advisors, INCBroker
Transamerica Financial Advisors, INC.
VALIC Financial Advisors, INC.
VALIC Financial Advisors, INC.Broker
Rogers Wealth Group, INC.
Fidelity Brokerage Services LLCBroker
State Registrations1 state
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
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