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3711 S Mopac Expy Suite 150, Austin, TX 78746 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2023-01-24 |
Branch Locations
3711 S Mopac Expy Suite 150, Austin, TX 78746 • United States
820 Gessner Ste 316, Houston, TX 77024 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Purshe Kaplan Sterling Investments | Albany | NY | 06/2021 | 07/2024 |
| Thrivent Advisor Network Dba 49 Financial | Houston | TX | 01/2021 | 12/2022 |
| University Of Oregon | Eugene | OR | 09/2017 | 06/2021 |
| Pacific Wave Surf Shop | Santa Cruz | CA | 04/2017 | 09/2018 |
| Scotts Valley High School | Scotts Valley | CA | 08/2013 | 06/2017 |
| 49 Wealth Management, Llc | Austin | TX | 01/2023 | Present |
| Oakwood Capital Securities, Inc. | Minneapolis | MN | 07/2024 | 12/2024 |
Financial Independence Group - Insurance Agent ; Investment Related ; Located at 19520 W Catawba Ave #200, Cornelius NC 28031 ; Description of the business: Fixed Insurance; Start date: 2024-07-23; 10 Hours per month during trading hours; Percentage of total yearly compensation expected to be derived from the business: 15. 25 Giving - Contractor; Not Investment Related; 3711 S Mopac Expy, Ste. 150 Austin TX 78746; Duties: To refer nonprofits so they can help develop charitable plans for donors of nonprofits; Start date: 2025-03-12; 1 Hour per month devoted to business during trading hours; 1 Hour per month devoted to business outside trading hours; 2 Percent of total yearly compensation expected to be derived from the business; Contact person: Justin Lopez; Website address: 25giving.com.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2023-01-09 |
| S63 | Uniform Securities Agent State Law Examination | 2021-04-03 |
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