AA
Amber C. Allen
49 FINANCIAL
Katy, TX
Some features on this profile are disabled
CRD#: 5696964
AA
Professional summary
Amber C Allen, who also goes by Amber Chenlle Allen, Amber Allen, Amber C Turner, is a registered financial advisor currently at 49 FINANCIAL located in Katy, Texas and OAKWOOD CAPITAL SECURITIES, INC. located in Austin, Texas.
Amber is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Amber has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Amber Chenlle Allen | Amber Allen | Amber C Turner
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) QAAllen Enterprise. Not Investment Related. Located at 23510 Greenwood Springs Pl., Katy, TX 77493. Nature - for tax purposes only. Position - Member. Start - 12/2020. 0 hours per month. No duties. This LLC is strictly for tax purposes. 2) Candid Conversations. Not Investment Related. Located at 23510 Greenwood Springs Pl., Katy, TX 77493. Nature - Author. Position - Owner. Start - 3/2022. 10 hours per month, not during trading hours. Duties - writing a series of books with other authors. 3) 49 Wealth Management LLC. Investment related. 916 S Capital of Texas Hwy Suite 2.100 Austin TX 78746. IAR. January 2023. 100 hours, 80 during trading. Working out of the home office. Percent of Advisory fees. 4) 4A Holdings. Not Investment Related. Located at 23510 Greenwood Springs Pl Katy Texas 77493. Nature- Leasing/renting property . Position- Founder/COO. Duties- Answer periodic questions from property managers. Start- 2024-12-02. Hours per month devoted to business outside trading hours: 10. Percentage of total yearly compensation expected to be derived from the business: 5) Oakwood Capital Securities; Investment Related; 600 Highway 169 S Ste 1410, Saint Louis Park, MN 55426; Registered Representative; 1 hour during trading hours per month 6) Ate; Non-investment related; 23510 Greenwood Springs Pl Katy Texas 77493; Co-founder; 20 hours per month outside of trading hours; app for the hospitality industry.
CRS (Client Relationship Summary) - RIA
Click below to view Amber C Allen'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
February 3, 2023 - Present
49 FINANCIAL
Office #2: 3711 S Mopac Expy Suite 150, Austin, TX 78746RIA
CRD#: 319484
Katy, TX
Current
January 11, 2024 - Present
OAKWOOD CAPITAL SECURITIES, INC.
Office #1: 3711 S Mopac Expressway Suite 150, Austin, TX 78746BD
CRD#: 21000
Austin, TX
Past
October 20, 2022 - January 16, 2024
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
Austin, TX
Past
April 15, 2020 - August 12, 2022
LPL FINANCIAL LLC
RIA
CRD#: 6413
HOUSTON, TX
Past
December 10, 2018 - August 12, 2022
LPL FINANCIAL LLC
BD
CRD#: 6413
HOUSTON, TX
Past
April 22, 2016 - December 4, 2018
LPL FINANCIAL LLC
BD
CRD#: 6413
HOUSTON, TX
Past
October 1, 2012 - May 2, 2016
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
HOUSTON, TX
Past
August 17, 2009 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
HOUSTON, 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
IAR
Texas(2/3/2023)
RR
Texas(1/11/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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
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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.
