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RIA / WealthAdvisorChartered Financial Analystdual registered (broker-dealer)15 years in industry

CHRISTOPHER S AUSTIN

Advisor at RBC ROCHDALE, LLC

IRVINE, CA | Huntington Beach, CA

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Search this name across graphsid dfx:ria:d94781ad-8237-bf43-c4c0-be9dcd45bd49

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 10:44 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Nov 10, 2011 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: RBC ROCHDALE, LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 1, 2011earliest registration or exam on IAPD
Years in industry: 15derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Designations: Chartered Financial Analyst
Exams: S65|S63
First exam: Feb 1, 2011
First registration: Nov 10, 2011
Dual registered: yes, broker-dealer
Other names: CHRIS AUSTIN|CHRISTOPHER SCOTT AUSTIN
IAPD individual key: 5874196

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
RBC ROCHDALE, LLC	Bd affiliated wealth	Mar 4, 2020	n/a	yes	IRVINE, CA\|Huntington Beach, CA	Current employment
20/20 CAPITAL MANAGEMENT, INC	Former SEC adviser	May 7, 2018	Feb 3, 2020	no	COSTA MESA, CA	Previous registration
AMERITAS ADVISORY SERVICES	Former SEC adviser	Mar 19, 2014	Dec 31, 2016	no	COSTA MESA, CA\|LINCOLN, NE\|Glendale, AZ	Previous registration
A.G.P / ALLIANCE GLOBAL PARTNERS	Independent wealth	Jan 14, 2013	Feb 24, 2014	no	NEWPORT BEACH, CA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Nov 10, 2011	Jan 7, 2013	no	NEWPORT BEACH, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
20/20 CAPITAL MANAGEMENT, INC	RBC ROCHDALE, LLC	Feb 3, 2020	Mar 4, 2020	30	Firm change	RIA to ibd
AMERITAS ADVISORY SERVICES	20/20 CAPITAL MANAGEMENT, INC	Dec 31, 2016	May 7, 2018	492	Firm change after gap	Other
A.G.P / ALLIANCE GLOBAL PARTNERS	AMERITAS ADVISORY SERVICES	Feb 24, 2014	Mar 19, 2014	23	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	A.G.P / ALLIANCE GLOBAL PARTNERS	Jan 7, 2013	Jan 14, 2013	7	Firm change	Other

Relationships

Registered with (5)

→ RBC ROCHDALE, LLCRegistered adviserregistration: current employment
Mar 4, 2020 to presentfactForm ADV
→ 20/20 CAPITAL MANAGEMENT, INCRegistered adviserregistration: previous registration
May 7, 2018 to Feb 3, 2020factForm ADV
→ AMERITAS ADVISORY SERVICESRegistered adviserregistration: previous registration
Mar 19, 2014 to Dec 31, 2016factForm ADV
→ A.G.P / ALLIANCE GLOBAL PARTNERSRegistered adviserregistration: previous registration
Jan 14, 2013 to Feb 24, 2014factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Nov 10, 2011 to Jan 7, 2013factForm ADV

Dated events

No dated event names this entity yet.