Austin Lewis is a registered investment advisor, based in Charlotte, NC, with 12 years of industry experience.
Location
2825 South Blvd, Suite 500, 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 →Other Business Activities
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
Assetmark, INC.
July 2025 - Present · 10 mos
Assetmark Brokerage, LLC
July 2025 - Present · 10 mos
Assetmark Brokerage, LLCBroker
July 2025 - Present · 10 mos
Previous Registrations
Vanguard Marketing CorporationBroker
May 2021 - July 2025 · 4 yrs 2 mos
Vanguard Advisers, INC.
April 2021 - July 2025 · 4 yrs 3 mos
TD Ameritrade Investment Management, LLC
April 2018 - June 2020 · 2 yrs 2 mos
Schwab Private Client Investment Advisory, INC.
September 2016 - March 2018 · 1 yr 6 mos
Charles Schwab & CO., INC.Broker
September 2016 - March 2018 · 1 yr 6 mos
Rooted Financial Planning
January 2016 - August 2016 · 7 mos
Transamerica Financial Advisors, INC.
May 2015 - December 2015 · 7 mos
Transamerica Financial Advisors, INCBroker
May 2015 - December 2015 · 7 mos
VALIC Financial Advisors, INC.
August 2014 - May 2015 · 9 mos
VALIC Financial Advisors, INC.Broker
August 2014 - May 2015 · 9 mos
Rogers Wealth Group, INC.
April 2014 - March 2015 · 11 mos
Fidelity Brokerage Services LLCBroker
December 2012 - January 2014 · 1 yr 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.