Neil Roy Tjon Hing

Current Employers

Employment History

• 12/2014 → 04/2020
  Axa Advisors Llc
  New York, NY
• 04/2020 → 07/2024
  Purshe Kaplan Sterling Investments
  Albany, NY
• 06/2020 → 12/2022
  Thrivent Advisor Network, Llc
  Austin, TX
• 01/2023 → Present
  49 Wealth Management Llc
  Austin, TX
• 08/2024 → Present
  Oakwood Capital Securities, Inc.
  Minneapolis, MN

Previous Registrations

• 2020-06-26 → 2022-12-31
  Thrivent Advisor Network, Llc
  Austin, TX
  Minneapolis, MN
• 2020-02-13 → 2020-04-17
  Equitable Advisors, Llc
  Abilene, TX
  Austin, TX
  Austin, TX

Other Businesses

1) 49 Wealth Management LLC; Investment advisor representative since 4/2020; 3711 S MoPac Expy, Ste 105, Austin, TX 78735. Approximately 90% time is for services as an investment advisor representative and the balance as a registered representative. Gives investment related advice 2) 49 Financial; Fixed Insurance Sales; Insurance agent; 3711 S MoPac Expy, Ste 105, Austin, TX 78735; Non-Investment Related; since 4/2020; Appx 10% of time during the month; Meet with clients, discuss financial goals and needs, and, if applicable, provide fixed insurance services. Sales of Fixed/Traditional insurance products. 3) Oakwood Capital Securities; Investment Related: 3711 S MoPac Expy, Ste 105, Austin, TX 78735; Registered Representative; Start: 08/2024; 40 Hours per month during trading hours; 10 Hours per month outside trading hours.

Exams

• S65 Uniform Investment Adviser Law Examination
  2020-02-12
• S63 Uniform Securities Agent State Law Examination
  2015-04-09