Austin Brockenbrough IV has been Managing Director and President and Executive Committee of Lowe, Brockenbrough & Company since December 2005, is a control person of the firm and directly owns between 5% and 10% of it. Austin Brockenbrough IV holds an M.B.A. from Darden School of Business and a B.A. in English with a concentration in American Studies from the University of Virginia.
Lowe, Brockenbrough & Company, Inc. is a Richmond, VA firm with $5.49B under management, 568 clients and 15 advisers in one office, as of its May 2026 filing.
Austin Brockenbrough IV is Chief Executive Officer of Brockenbrough and leads the firm's Executive Committee. He works closely with all aspects of the firm, including private wealth and institutional services. He has been with the firm since 1998; before that he served as an investment executive at UBS in Denver, Colorado.
Professional designations
Listed by Lowe, Brockenbrough & Company
- CFA
Investment adviser representative registrations
Austin Brockenbrough IV is registered as an investment adviser representative in 2 states. The first approvals date from May 2001; the most recent is Texas, in November 2016.
- TexasSince 11 November 2016
- VirginiaSince 31 May 2001
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 63 | Uniform Securities Agent State Law Examination | 21 December 2006 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 15 December 2006 |
| Series 65 | Uniform Investment Adviser Law Examination | 14 May 1993 |
| Series 7 | General Securities Representative Examination | 7 May 1993 |
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Representative Examination
- CRD
- 2347134
- Firm
- Lowe, Brockenbrough & Company · CRD 105142
- Role
- Managing Director; President; Executive Committee
- Office
- 1802 BAYBERRY CT, Richmond, VA 23226
- Registration
- Investment adviser registration
- In the industry since
- May 2001
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- brockenbroughinc.com
Where does Austin Brockenbrough IV work?
Austin Brockenbrough IV has been Managing Director; President; Executive Committee of Lowe, Brockenbrough & Company, Inc. since December 2005, and is a control person of the firm.
Is Austin Brockenbrough IV a financial advisor?
Yes. Austin Brockenbrough IV has a current investment-adviser registration in Texas and Virginia, through Lowe, Brockenbrough & Company since May 2001.
How many years of experience does Austin Brockenbrough IV have?
Austin Brockenbrough IV has 25 years in the financial industry, since May 2001, across 1 adviser firm.
What exams has Austin Brockenbrough IV passed?
Austin Brockenbrough IV has passed 4 licensing exams: the Series 7, Series 65, Series 6 and Series 63. The earliest, the Series 7, was passed in May 1993.
Where is Austin Brockenbrough IV based?
Austin Brockenbrough IV’s registered office is in Richmond, VA.
Is Austin Brockenbrough IV registered with FINRA?
No. Austin Brockenbrough IV has no current broker registration.
Is Austin Brockenbrough IV a CFA charterholder?
Lowe, Brockenbrough & Company lists Austin Brockenbrough IV with the CFA credential (“CFA”) on its website. CFA Institute confirms certification status.
Source: Austin Brockenbrough IV, CFA biography, brockenbroughinc.com
How can I verify Austin Brockenbrough IV’s record?
Search CRD 2347134 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Austin Brockenbrough IV’s full registration record.
David LyonsChief Compliance Officer (01/2021); Managing Director; Treasurer (09/2000) ; Executive Committee
Austin Brockenbrough IIIManaging Director & Chairman of the Board
Charles CaravatiManaging Director & Secretary; Executive Committee
Christopher DionManaging Director; Executive Committee
Walter RobertsonManaging Director; Executive Committee
Matthew ShaiaManaging Director; Executive Committee