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3711 S Mopac Expy Suite 150, Austin, TX 78746 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2024-05-07 |
Branch Locations
1213 W Morehead Street Suite 508, Charlotte, NC 28208 • United States
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 |
|---|---|---|---|---|
| Purshe Kaplan Sterling Investments | Albany | NY | 05/2022 | 01/2024 |
| Chick-Fil-A Hawks Creek | Westworth Village | TX | 09/2021 | 04/2022 |
| Chick-Fil-A Kernersville Fsu | Westworth Village | TX | 10/2020 | 08/2021 |
| Chick-Fil-A Hawks Creek Fsu | Westworth Village | TX | 05/2020 | 10/2020 |
| Chick-Fil-A Hanes Mall Food Co | Winston-Salem | NC | 05/2017 | 05/2020 |
| Wochenblatt Gmbh | Loerrach | 09/2015 | 05/2017 | |
| 49 Wealth Management Llc | Charlotte | NC | 07/2022 | Present |
| Oakwood Capital Securities, Inc. | Minneapolis | MN | 07/2024 | 12/2024 |
1) 49 Financial / Fixed insurance agent / non-investment related / 40 hours per month (all during trading hours) / 1213. w. Morehead St. suite 527 Charlotte, NC 28208/ Started on 7/2022, duties involve helping clients find life insurance/annuity products that fit into their financial plan. 2) Kiwanis Club of Charlotte / Board Member / non-investment related / Start Date: 7/1/2025 / Duties include helping to decide which charities the club with donate to within their community; there is no involvement of funds / Location: PO Box 36626 Charlotte, NC 28236 / Hours per month outside of trading hours dedicated to this OBA: 1 / Hours per month outside of trading hours dedicated to this OBA: 0 3) Kiwanis Club of CLT / Foundation Board member / non-investment related / Start Date: 7/1/2025 / Duties include helping to decide which charities the club with donate to within their community; there is no involvement of funds / Location: PO Box 36626 Charlotte, NC 28236 / Hours per month outside of trading hours dedicated to this OBA: 1 / Hours per month outside of trading hours dedicated to this OBA: 0
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2024-05-07 |
| S63 | Uniform Securities Agent State Law Examination | 2022-03-11 |
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