DD
Dean P. Dillenberg
49 FINANCIAL
AUSTIN, TX 78746
Some features on this profile are disabled
CRD#: 6195527
DD
Professional summary
Dean Philip Dillenberg is a registered financial advisor currently at 49 FINANCIAL located in Austin, Texas and OAKWOOD CAPITAL SECURITIES, INC. located in Austin, Texas.
Dean is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Dean 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.
Dually-registered with 49 Wealth Management LLC. Served as an investment advisor representative for 49 Wealth Management LLC since 12/2019. Business is conducted from840 Apollo St #248, El Segundo, CA 90245. Approximately 90% of his time is for services as an investment advisor representative and the balance as a registered representative. 49 Financial; Fixed Insurance Sales; 840 Apollo St #248, El Segundo, CA 90245; Non-Investment Related; Appx 10% of time during the month Vice President of Financial Independence Group; Investment related: Yes; Location: 840 Apollo St Ste 248 El Segundo CA 90245; Description: Fixed Insurance Sales; Responsibilities Duties: Selling fixed insurance; Start date: 2024-07-24; Hours devoted to business during trading hours: 3; Hours devoted to business outside trading hours: 1; Percentage of total yearly compensation expected to be derived from the business: 30. Registered representative at Oakwood Capital Securities; Investment related: Yes; Location: 840 Apollo St Ste 248 El Segundo CA 90245; Description: variable securities; Responsibilities Duties: selling variable products; Start date: 2024-07-24; Hours devoted to business during trading hours: 1; Hours devoted to business outside trading hours: 1; Percentage of total yearly compensation expected to be derived from the business: 10. 25 Giving; Contractor; Non-Investment related; 3711 S Mopac Expy, Ste. 150, Austin, TX 78746; since 8/29/2025; Refer nonprofits to 25 Giving so they can help develop charitable plans for donors of nonprofits; 2 hours per month during and after business hours.
CRS (Client Relationship Summary) - RIA
Click below to view Dean Philip Dillenberg'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: 3711 S Mopac Expy Suite 150, Austin, TX 78746RIA
CRD#: 319484
AUSTIN, 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
June 24, 2020 - December 31, 2022
THRIVENT ADVISOR NETWORK, LLC
RIA
CRD#: 304569
MANHATTAN BEACH, CA
Past
December 7, 2019 - July 2, 2020
PKS ADVISORY SERVICES, LLC
RIA
CRD#: 125648
ALBANY, NY
Past
October 28, 2019 - January 9, 2024
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
El Segundo, CA
Past
August 26, 2016 - October 30, 2019
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
AUSTIN, TX
Past
July 7, 2016 - October 30, 2019
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
AUSTIN, 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)
IAR
California(1/3/2023)
RR
California(1/11/2024)
RR
Colorado(1/11/2024)
RR
Florida(1/11/2024)
RR
Hawaii(2/29/2024)
RR
Illinois(1/11/2024)
RR
Indiana(1/14/2025)
RR
Massachusetts(1/11/2024)
RR
Michigan(6/11/2024)
RR
Minnesota(1/11/2024)
RR
Missouri(1/11/2024)
RR
Montana(1/11/2024)
RR
Nebraska(1/11/2024)
RR
New Jersey(1/11/2024)
RR
New Mexico(1/11/2024)
RR
New York(1/11/2024)
RR
North Carolina(5/29/2025)
RR
Ohio(1/11/2024)
RR
Oregon(1/11/2024)
RR
Pennsylvania(1/11/2024)
IAR
Texas(1/3/2023)
RR
Texas(1/11/2024)
RR
Virginia(1/11/2024)
RR
Washington(1/11/2024)
RR
Wisconsin(1/11/2024)
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.
