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3711 S Mopac Expy Suite 150, Austin, TX 78746 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2023-01-04 |
Branch Locations
3711 S Mopac Expy Suite 150, Austin, TX 78746 • United States
3400 N Central Expy Sute #110-260, Richardson, TX 75080 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Axa Advisors, Llc | New York | NY | 08/2016 | 11/2019 |
| Purshe Kaplan Sterling Investments | Albany | NY | 11/2019 | 01/2024 |
| Thrivent Advisor Network, Llc | Dallas | TX | 06/2020 | 12/2022 |
| 49 Wealth Management Llc | Austin | TX | 01/2023 | Present |
| Oakwood Capital Securities, Inc. | Minneapolis | MN | 01/2024 | Present |
1) 49 Wealth Management, LLC; Investment-related: yes; 3400 N Central Expy, Suite #110-260, Richardson, TX 75080; an SEC RIA firm; Investment Adviser Representative; Financial Advisor servicing individual and small business clients since 11/2019; 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; 3400 N Central Expy, Suite #110-260, Richardson, TX 75080; Fixed Insurance Sales Agent since 11/2019; approximately 16 hours per month during business hours. 3) Oakwood Capital Securities; investment related: Yes; 3400 N Central Expy, Suite #110-260, Richardson, TX 75080 USA; Registered Representative; Start date: 2024-07-28; 20 Hours per month during trading hours. 4) 25 Giving; Contractor; Non-investment related; 3711 S Mopac Expy, Ste. 150, Austin, TX 78746; since 2/19/2025; Charitable planning company. Help people structure their charitable giving, partner with nonprofits to help them maximize their donors' charitable giving; 2 hours per month during and after business hours 5) Phillip & Debra Lanz Estate; Non-investment related; Start Date: 07/01/2024; Trustee of estate; Trustee of estate for relative; 0 hours before and after trading hours
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-09-28 |
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