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Brian Connely Austin

Firm:
Ayers Capital, LLC
Non-Voting Member
Type: RIA
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Description

Brian Austin is a minority owner of Ayers Capital, LLC, a $108M dollar RIA based in Chicago, IL. Brian has held an industry securities registration for 11 years and is subject to SEC oversight.

BrightScope Advisor Metrics

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Answers and Guides

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0 Answers and 0 Financial Guides

Top Answers

Brian Connely Austin has not answered any questions on Financial Q&A.

Top Guides

Brian Connely Austin has not contributed any Financial Guides on Financial Q&A.
*Answers and guides are provided without compensation.

Firm Client Types

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ownership pie chart
High Net Worth Individuals
Individuals
Pension and Profit Sharing Plans
Charitable Organizations

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

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Employer Years Dates
Ayers Capital, LLC 3 years, 6 months Nov 2009 - Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated 3 years, 7 months Oct 2009 - Present
Banc of America Investment Services, Inc. 6 years, 9 months Aug 2006 - Present
Bank of America,Na 6 years, 9 months Aug 2006 - Present
Suntrust Banks, Inc. 4 months Apr 2006 - Aug 2006
Suntrust Investment Services, Inc. 4 years, 6 months Feb 2002 - Aug 2006
Banc of America Investment Services, Inc. 1 year Jan 2001 - Jan 2002
Bank of America,Na 7 years, 2 months Nov 1994 - Jan 2002
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 11/12/2009, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

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Regulator
SEC
FINRA
License Status
Registered
Not registered
Disclosures

No Disclosures Found

No Disclosures Found
As of Date
11/12/2009
11/12/2009
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

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Exam Series Passed Date
Uniform Combined State Law Examination Series 66 09/04/2002
General Securities Representative Examination Series 7 03/13/2001

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees
  • Other: (6) Performance-based fees