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3711 S Mopac Expy Suite 150, Austin, TX 78746 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2023-01-03 |
Branch Locations
3711 S Mopac Expy Suite 150, Austin, TX 78746 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Axa Advisors, Llc | New York | NY | 09/2014 | 12/2019 |
| Purshe Kaplan Sterling Investments, Inc | Albany | NY | 01/2020 | 01/2024 |
| Thrivent Advisor Network, Llc | Austin | 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; 916 S. Capital of Texas Highway, Suite 2.100, Austin, TX 78746; an SEC RIA firm; Investment Adviser Representative; Financial Advisor servicing individual and small business clients since 12/2019; Approximately 90% of his time is for services as an investment advisor representative during business hours. 2) 49 Financial through Financial Independence Group; Non-Investment Related; 916 S. Capital of Texas Highway, Suite 2.100, Austin, TX 78746; Fixed Insurance Sales Agent since 12/2019; approximately 16 hours per month during business hours. 3) Oakwood Capital Securities; Investment-related; 916 S. Capital of Texas Highway, Suite 2.100, Austin, TX 78746; Registered Representative; Start: 01/2024;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2018-08-30 |
| S63 | Uniform Securities Agent State Law Examination | 2014-12-29 |
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