Travis Jordan Penfield

Current Employers

Employment History

• 11/2012 → 10/2019
  Axa Advisors, Llc
  New York, NY
• 10/2019 → 01/2024
  Purshe Kaplan Sterling Investments, Inc.
  Albany, NY
• 06/2020 → 12/2022
  Thrivent Advisor Network, Llc
  Austin, TX
• 01/2023 → Present
  49 Wealth Management, Llc
  Austin, TX
• 01/2024 → Present
  Oakwood Capital Securities, Inc.
  Minneapolis, MN
• 05/2025 → Present
  Alongside Llc
  Austin, TX
• 10/2025 → Present
  88 Family Office, Llc
  Austin, TX

Previous Registrations

• 2020-06-30 → 2022-12-31
  Thrivent Advisor Network, Llc
  Minneapolis, MN
  Austin, TX
• 2019-11-22 → 2020-07-02
  Pks Advisory Services, Llc
  Albany, NY
• 2012-11-16 → 2019-11-15
  Equitable Advisors, Llc
  Allen, TX
  Austin, TX
  Austin, TX

Other Businesses

1) 49 Wealth Management, LLC; Investment-related: yes; 3711 S MoPac Expy, Ste 105, Austin, TX 78735; an SEC RIA firm; Investment Adviser Representative; Financial Advisor servicing individual and small business clients since 01/2023; Approximately 90% of their time is for services as an investment advisor representative during business hours. 2) 49 Financial through Financial Independence Group; Non-Investment Related; 3711 S MoPac Expy, Ste 105, Austin, TX 78735; Fixed Insurance Sales Agent since 10/2019; approximately 16 hours per month during business hours. 3) CG Victory - Not Investment-related, 9185 Research Blvd, Austin TX 78758, Non-profit Kid's Camp, Board Member, 10/2022, 1 hour/0 trading hours per month, Vote on initiatives for programs and provide feedback for expanding impact on campers and counselors._ 4) Investor; Nook CUSO, Inc.; Is the business investment related: Yes; Location of the business: 603 Lake Street East, Ste. 206 Wayzata MN 55391 US; Description of the business: Nook was built to empower credit unions to execute niche banking strategies without the need for their own independent resources and expertise.; Responsibilities Duties: None. ; Start date with business: 2024-01-29; Hours per month devoted to business during trading hours: 0; Hours per month devoted to business outside trading hours: 0; Percentage of total yearly compensation expected to be derived from the business: 0; 5) Oakwood Capital Securities; investment related;3711 S MoPac Expy, Ste 105, Austin, TX 78735; Description of the business: Variable product sales as a part of a client's full financial plan; Registered Representative; Variable product sales as part of a client's full financial plan; Start date: 2024-01-11; 20 Hours per month all during trading hours. 6) 25 Giving; CEO; Non-investment related; 3711 S. Mopac Expressway, Ste 150, Austin, TX 78749; since 12/18/2024; Charitable planning company. Help people structure their charitable giving, partner with nonprofits to help them maximize their donors' charitable giving; Approx. 5 hours per month after business hours. 7) Acts of Athletes; Board Member; Non-investment related; 2209 Betty Lou Lane Austin, TX 78754; since 2/17/2025; This company represents athletes for NIL contracts. Will not be engaging with any of the athletes that are clients of the company; 1 hour per month during and after business hours 8) Alongside, LLC; Owner; Investment related; 3711 S Mopac Expy Bldg 1-150 Austin, TX, 78746; since 3/25/2025; Beneficial owner of Alongside, LLC. an SEC registered Investment Advisor; 10 hours per month during and after business hours. 9) 818 Family Office, LLC; Owner; Investment related; 3711 S Mopac Expy Bldg 1-150 Austin, TX, 78746; since 3/25/2025; CEO. an SEC registered Investment Advisor; 10 hours per month during and after business hours.

Exams

• S66 Uniform Combined State Law Examination
  2012-10-01

Other Names

• Travis Penfield