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3711 S Mopac Expy Suite 150, Austin, TX 78746 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2023-02-03 |
Branch Locations
3711 S Mopac Expy Suite 150, Austin, TX 78746 • United States
Katy, TX • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial | Houston | TX | 04/2016 | 08/2022 |
| Amegy Bank | Houston | TX | 04/2016 | 08/2022 |
| Thrivent Advisor Network Dba 49 Financial | Austin | TX | 08/2022 | 12/2022 |
| Purshe Kaplan Sterling Investments | Albany | NY | 10/2022 | 01/2024 |
| 49 Wealth Management, Llc | Austin | TX | 01/2023 | Present |
| Oakwood Capital Securities, Inc. | Minneapolis | MN | 01/2024 | Present |
1) QAAllen Enterprise. Not Investment Related. Located at 23510 Greenwood Springs Pl., Katy, TX 77493. Nature - for tax purposes only. Position - Member. Start - 12/2020. 0 hours per month. No duties. This LLC is strictly for tax purposes. 2) Candid Conversations. Not Investment Related. Located at 23510 Greenwood Springs Pl., Katy, TX 77493. Nature - Author. Position - Owner. Start - 3/2022. 10 hours per month, not during trading hours. Duties - writing a series of books with other authors. 3) 49 Wealth Management LLC. Investment related. 916 S Capital of Texas Hwy Suite 2.100 Austin TX 78746. IAR. January 2023. 100 hours, 80 during trading. Working out of the home office. Percent of Advisory fees. 4) 4A Holdings. Not Investment Related. Located at 23510 Greenwood Springs Pl Katy Texas 77493. Nature- Leasing/renting property . Position- Founder/COO. Duties- Answer periodic questions from property managers. Start- 2024-12-02. Hours per month devoted to business outside trading hours: 10. Percentage of total yearly compensation expected to be derived from the business: 5) Oakwood Capital Securities; Investment Related; 600 Highway 169 S Ste 1410, Saint Louis Park, MN 55426; Registered Representative; 1 hour during trading hours per month 6) Ate; Non-investment related; 23510 Greenwood Springs Pl Katy Texas 77493; Co-founder; 20 hours per month outside of trading hours; app for the hospitality industry.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2020-02-14 |
| S63 | Uniform Securities Agent State Law Examination | 2009-08-28 |
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