Thomas George Austin

Employer firm

Rbc Capital Markets, LLC CRD 31194

$310B regulatory AUM 1,893 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

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

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

Current Employers

Employment History

• 09/1991 → 05/2025
  Ubs Financial Services Inc.
  Syracuse, NY
• 05/2025 → Present
  Rbc Capital Markets, Llc
  Syracuse, NY

Previous Registrations

• 1999-01-01 → 2025-05-27
  Ubs Financial Services Inc.
  Syracuse, NY
  Syracuse, NY

Other Businesses

(1) NAME OF ENTITY: Comstock Properties LLC ADDRESS: 4198 Lorenzo Farms Road, Cazenovia, New York 13035 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Private Company START DATE: May 01, 2002 CAPACITY: Owner DUTIES: Holding a mortgage and receiving monthly mortgage payments on a sold rental property HOURS DEVOTED PER MONTH: Zero HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0

Exams

• S65 Uniform Investment Adviser Law Examination
  1993-05-14
• S63 Uniform Securities Agent State Law Examination
  1985-06-20