Unclaimed Profile

Caroline Austin

FSW ADVISORY SERVICES INC.·DALLAS, Texas

Series 4, Series 7, Series 24, Series 27, Series 53, Series 63, Series 65Clean record21 years registeredFSW ADVISORY SERVICES INC.

325 NORTH ST. PAUL STREET, DALLAS, TX 75201CRD# 710803Firm CRD# 148818

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Caroline Austin · DALLAS, TX

Registration

CRD #710803 · FSW ADVISORY SERVICES INC. · 21 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: FSW ADVISORY SERVICES INC.

CROSS BORDERS ADVISORS LLC

Feb 2013 – Sep 2018

DALLAS, TX

FSW ADVISORY SERVICES INC.

Mar 2009 – Jul 2012

DALLAS, TX

FIRST SOUTHWEST ASSET MANAGEMENT INC

Jan 2009 – Jul 2012

DALLAS, TX

EFG ADVISORS

Oct 2005 – Feb 2008

DALLAS, TX

EVOLVE SECURITIES, INC.

Oct 2005 – Feb 2008

DALLAS, TX

SOUTHWEST SECURITIES, INC.

Oct 2004 – Nov 2004

DALLAS, TX

SWS FINANCIAL SERVICES

Oct 2004 – Nov 2004

DALLAS, TX

Registrations & Exams

FINRA examinations passed

Series 4

Series 7

Series 24

Series 27

Series 53

Series 63

Series 65

Registration record

First registered · October 4, 2004

Years registered · 21

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD, as of 14 August 2026. Verify on FINRA BrokerCheck →

Firm Overview

Firm

FSW ADVISORY SERVICES INC.

CRD 148818 · SEC 801-69739

AUM

$23M

Regulatory assets under management

Employees

5 client accounts

Services offered by FSW ADVISORY SERVICES INC.

Per Form ADV

Selection of other advisers

Publication of periodicals/newsletters

Security ratings or pricing services

View all advisors at FSW ADVISORY SERVICES INC. →

Introduction

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Frequently Asked Questions

What services does Caroline Austin offer?

Caroline Austin specializes in Wealth Management.

What are Caroline Austin's credentials?

Caroline Austin is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Caroline Austin located?

Caroline Austin is based in DALLAS, Texas, last registered with FSW ADVISORY SERVICES INC..

How does Caroline Austin charge for services?

Caroline Austin's firm is compensated through percentage of aum, hourly charges. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is FSW ADVISORY SERVICES INC.?

FSW ADVISORY SERVICES INC. has approximately 5 employees and manages $23M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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