Richard Barrett Austin

Employer firm

Raymond James & Associates, Inc. CRD 705

$501B regulatory AUM 2,231 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 08/2014 → 10/2019
  Ubs Financial Services Inc.
  Montgomery, AL
• 08/2021 → Present
  Raymond James & Associates, Inc.
  Montgomery, AL
• 10/2019 → 08/2021
  Wythe Press Llc
  Montgomery, AL

Previous Registrations

• 2014-10-14 → 2019-10-21
  Ubs Financial Services Inc.
  Montgomery, AL

Other Businesses

(1)Name of Business: Wythe Press, LLC. Address: 2001 S. Hull St., Montgomery, AL, 36104, United States Activity Type: Business Owner Position/Title: Owner/Proprietor Investment Related: Yes Start Date: 05/27/2021 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Wythe Press LLC is an entity formed for the purpose of publishing a historical/architecture book prior to joining Raymond James. At this point the business receives revenue from the sales of the remaining book inventory. Monthly time commitment is less than one hour. There is no overlap between my responsibilities at Raymond James and the very limited scope of my responsibility with the LLC. As of today, no inventory remains and I am only resubmitting as the LLC is still active.

Exams

• S66 Uniform Combined State Law Examination
  2014-10-14

Other Names

• Richard Barrett Austin
• Barrett Austin
• Richard B Austin