MS
Matthew K. Sims
49 FINANCIAL
Richardson, TX 75080
Some features on this profile are disabled
CRD#: 4913495
MS
Professional summary
Matthew Kyle Sims is a registered financial advisor currently at 49 FINANCIAL located in Richardson, Texas and OAKWOOD CAPITAL SECURITIES, INC. located in Richardson, Texas.
Matthew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Matthew has worked at 6 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. 49 Wealth Management, LLC; Investment-related: yes; 14555 Dallas Parkway, Suite 100-212, Dallas, TX 75254; an SEC RIA firm; Investment Adviser Representative; Financial Advisor servicing individual and small business clients since 01/2023; Approximately 90% of her time is for services as an investment advisor representative during business hours. 2. 49 Financial through Financial Independence Group; Non-Investment Related; 14555 Dallas Parkway, Suite 100-212, Dallas, TX 75254; Fixed Insurance Sales Agent since 11/2019;160 Hours per month during trading hours; 10 Hours per month outside trading hours. 3. Oakwood Capital Securities; Investment Related; 14555 Dallas Parkway, Suite 100-212, Dallas, TX 75254; Registered Representative; Sell of Registered Products consistent with Clients Overall Financial Plan; Start: 01/2024; 160 Hours per month during trading hours; 20 Hours per month outside trading hours. 4.) 25 Giving; Contractor; Not investment related; 3711 S Mopac Expy Ste 150 Austin TX 78746; Nonprofit consulting organization; Refer nonprofits to 25 Giving so they can help develop charitable plans for donors of nonprofits; Since 2025-05-29; 2 Hours per month/ 1 hour during trading hours: 2 Percent of total yearly compensation expected to be derived from the business; Contact person: Justin Lopez; Website address for the organization: 25giving.com.
CRS (Client Relationship Summary) - RIA
Click below to view Matthew Kyle Sims's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 3, 2023 - Present
49 FINANCIAL
Office #1: 3400 N Central Expy Suite 110-210, Richardson, TX 75080RIA
CRD#: 319484
Richardson, TX
Current
January 11, 2024 - Present
OAKWOOD CAPITAL SECURITIES, INC.
Office #1: 3400 N Central Expy Suite #110-260, Richardson, TX 75080BD
CRD#: 21000
Richardson, TX
Past
June 24, 2020 - December 31, 2022
THRIVENT ADVISOR NETWORK, LLC
RIA
CRD#: 304569
Dallas, TX
Past
December 6, 2019 - July 2, 2020
PKS ADVISORY SERVICES, LLC
RIA
CRD#: 125648
ALBANY, NY
Past
October 29, 2019 - January 11, 2024
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
Dallas, TX
Past
June 13, 2005 - October 29, 2019
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
DALLAS, TX
Past
April 14, 2005 - October 29, 2019
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
DALLAS, TX
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
49 FINANCIAL
49 FINANCIAL | GLADIATOR ADVISORS, LLC | 49 WEALTH MANAGEMENT, LLC
CRD#: 319484 / SEC#: 801-123687
RIA
Registered Investment Advisory firm - (9/8/2022 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(1/11/2024)
RR
Arkansas(1/11/2024)
RR
California(1/11/2024)
RR
Colorado(1/31/2024)
RR
Florida(1/11/2024)
RR
Georgia(5/6/2024)
RR
Hawaii(2/29/2024)
RR
Illinois(1/11/2024)
RR
Kansas(1/11/2024)
RR
Louisiana(1/11/2024)
RR
Maine(1/24/2024)
RR
Massachusetts(1/11/2024)
RR
Michigan(1/11/2024)
RR
Missouri(2/1/2024)
RR
Montana(1/11/2024)
RR
Nebraska(1/11/2024)
RR
Nevada(12/18/2024)
RR
New Jersey(1/11/2024)
RR
New York(1/11/2024)
RR
North Carolina(1/11/2024)
RR
North Dakota(1/11/2024)
RR
Ohio(1/11/2024)
RR
Oklahoma(1/11/2024)
RR
Pennsylvania(1/11/2024)
RR
South Carolina(1/11/2024)
RR
Tennessee(1/26/2024)
IAR
Texas(1/3/2023)
RR
Texas(1/11/2024)
RR
Vermont(1/24/2024)
RR
Wisconsin(6/4/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
49 FINANCIAL
49 FINANCIAL | GLADIATOR ADVISORS, LLC | 49 WEALTH MANAGEMENT, LLC
CRD#: 319484 / SEC#: 801-123687
RIA
Registered Investment Advisory firm - (9/8/2022 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
3711 S Mopac Expy Suite 150, Austin, TX 78746
Mailing Address
Phone number
(214) 563-1190
Established
Firm type
Fiscal year end
# of Employees
167
SEC notice filing (35 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,989 |
| AUM (Assets Under Management) | $ 871,379,407 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/25/2025 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
49 FINANCIAL
CRD#: 319484Richardson, TX 75080TRUST BUT VERIFY
Monitor Matthew Sims
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
