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3711 S Mopac Expy Suite 150, Austin, TX 78746 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2023-01-04 |
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 | TX | 11/2014 | 10/2019 |
| Purshe Kaplan Sterling Investments, Inc | Albany | NY | 10/2019 | 01/2024 |
| Thrivent Advisor Network, Llc | Dallas | TX | 06/2020 | 12/2022 |
| 49 Wealth Management Llc | Austin | TX | 01/2023 | Present |
| Oakwood Capital Securities, Inc. | Minneapolis | MN | 01/2024 | Present |
1) David Farrell is dually-registered with 49 Wealth Management LLC. David Farrell has served as an investment advisor representative for 49 Wealth Management LLC since 01/2023. Business is conducted from 916 S. Capital of Texas Hwy, Suite 2.100, Austin, TX 78746. Approximately 90% of David Farrell's time is for services as an investment advisor representative and the balance as a registered representative. 2) Insurance Sales. Non-Investment Related. 19520 West Catawba Ave, Ste 200, Cornelius, NC 28031. Insurance Agent. Start 11/2019. 150hrs/mo, all during trading hours. Meet with clients, discuss financial goals and need, if applicable provide fixed insurance. 3) Oakwood Capital Securities; investment related; 600 US 169m Ste. 1410 Minneapolis Minnesota 55246 USA; Broker Dealer securities; Registered Representative; Discussion, planning, and sales of broker dealer products; Start date: 2024-08-07; 10 Hours per month all during trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-04-03 |
| S63 | Uniform Securities Agent State Law Examination | 2014-12-16 |
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