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Inactive

Brooke Ann Smith

49 Financial

El Segundo, CA

Austin, TX

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Current Employers
49 Financial

3711 S Mopac Expy Suite 150, Austin, TX 78746 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-12-23
  • CA RA
    APPROVED
    Since 2025-12-23

Branch Locations

840 Apollo St #235/248, El Segundo, CA 90245 • United States

3711 S Mopac Expy Suite 150, Austin, TX 78746 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Santa Barbara City College Santa Barbara CA 09/2020 08/2022
University Of California, Santa Barbara Santa Barbara CA 08/2022 12/2024
The Ritz Carlton Bacara Santa Barbara CA 11/2020 06/2023
Acme - Loquita Santa Barbara CA 09/2024 11/2024
Upi Marketing, Inc. Hermosa Beach CA 07/2020 06/2025
49 Financial Austin TX 06/2025 Present
Mira Costa High School Manhattan Beach CA 09/2016 09/2020
Tarsan Stand Up Paddle Boarding Redondo Beach CA 01/2015 09/2016
  • 09/2020 → 08/2022
    Santa Barbara City College
    Santa Barbara, CA
  • 08/2022 → 12/2024
    University Of California, Santa Barbara
    Santa Barbara, CA
  • 11/2020 → 06/2023
    The Ritz Carlton Bacara
    Santa Barbara, CA
  • 09/2024 → 11/2024
    Acme - Loquita
    Santa Barbara, CA
  • 07/2020 → 06/2025
    Upi Marketing, Inc.
    Hermosa Beach, CA
  • 06/2025 → Present
    49 Financial
    Austin, TX
  • 09/2016 → 09/2020
    Mira Costa High School
    Manhattan Beach, CA
  • 01/2015 → 09/2016
    Tarsan Stand Up Paddle Boarding
    Redondo Beach, CA
Other Businesses

Fixed insurance agent / Investment related / 40 hours per month / Same address as above.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2025-12-23
  • S65 Uniform Investment Adviser Law Examination
    2025-12-23
Other Names
  • Brooke Smith

View on SEC IAPD

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