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Detailed Report
AUSTIN WILLIAM SAXON
CRD#: 6394582
IA
Investment Adviser
B
Broker
FIDELITY PERSONAL AND WORKPLACE ADVISORSCRD#: 288590 100 CROSBY PARKWAY
COVINGTON, KY 41015
FIDELITY BROKERAGE SERVICES LLCCRD#: 7784 LAS VEGAS, NV
Registration History
2015201620172018201920202021202220232024202520262 FIRMS2015 - 2016 (1 year)2 FIRMS2016 - 2022 (6 years)2 FIRMS2022 - Present (2 years)
License(s)

State Registrations

B
Alabama 6/16/2022
B
Nebraska 6/16/2022
B
Alaska 6/16/2022
B
Nevada 6/16/2022
B
Arizona 6/16/2022
IA
Nevada 8/2/2022
B
Arkansas 6/16/2022
B
New Hampshire 6/16/2022
B
California 6/16/2022
B
New Jersey 6/16/2022
B
Colorado 6/16/2022
B
New Mexico 6/16/2022
B
Connecticut 6/16/2022
B
New York 6/16/2022
B
Delaware 6/16/2022
B
North Carolina 6/16/2022
B
District of Columbia 6/16/2022
B
North Dakota 6/16/2022
B
Florida 6/16/2022
B
Ohio 6/16/2022
B
Georgia 6/16/2022
B
Oklahoma 6/16/2022
B
Hawaii 6/16/2022
B
Oregon 6/16/2022
B
Idaho 6/16/2022
B
Pennsylvania 6/16/2022
B
Illinois 6/16/2022
B
Puerto Rico 6/16/2022
B
Indiana 6/16/2022
B
Rhode Island 6/16/2022
B
Iowa 6/16/2022
B
South Carolina 6/16/2022
B
Kansas 6/16/2022
B
South Dakota 6/16/2022
B
Kentucky 6/16/2022
B
Tennessee 6/16/2022
B
Louisiana 6/16/2022
B
Texas 6/16/2022
B
Maine 6/16/2022
B
Utah 6/16/2022
B
Maryland 6/16/2022
B
Vermont 6/16/2022
B
Massachusetts 6/16/2022
B
Virgin Islands 6/16/2022
B
Michigan 6/16/2022
B
Virginia 6/16/2022
B
Minnesota 6/16/2022
B
Washington 6/16/2022
B
Mississippi 6/16/2022
B
West Virginia 6/16/2022
B
Missouri 6/16/2022
B
Wisconsin 6/16/2022
B
Montana 6/16/2022
B
Wyoming 6/16/2022

SRO Registrations

B
 FINRA
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
FIDELITY PERSONAL AND WORKPLACE ADVISORS (CRD#:288590)
100 CROSBY PARKWAY, COVINGTON, KY 41015
LAS VEGAS, NV
Registered with this firm since 8/2/2022
B
FIDELITY BROKERAGE SERVICES LLC (CRD#:7784)
LAS VEGAS, NV
Registered with this firm since 6/16/2022
Previous Registration(s)
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IA
 07/05/2016 - 06/03/2022 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) LAS VEGAS, NV
B
 06/14/2016 - 06/03/2022 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) LAS VEGAS, NV
IA
 05/14/2015 - 06/07/2016 WADDELL & REED (CRD#:866) LAS VEGAS, NV
B
 04/01/2015 - 06/07/2016 WADDELL & REED (CRD#:866) LAS VEGAS, NV
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.