TR
Timothy M. Rodgers
49 FINANCIAL
Rogers, AR 72758
Some features on this profile are disabled
CRD#: 6879767
TR
Professional summary
Timothy Micheal Rodgers, who also goes by Tim Micheal Rodgers, Timothy Rodgers, is a registered financial advisor currently at 49 FINANCIAL located in Rogers, Arkansas and OAKWOOD CAPITAL SECURITIES, INC. located in Rogers, Arkansas.
Timothy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Timothy has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tim Micheal Rodgers | Timothy Rodgers
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; 5001 W Founders Way Suite 100 Rogers AR 72758; an SEC RIA firm; Investment Adviser Representative; Financial Advisor servicing individual and small business clients since 01/2023; Approximately 90% of their time is for services as an investment advisor representative during business hours. 2) 49 Financial through Financial Independence Group; Non-Investment Related; 5001 W Founders Way Suite 100 Rogers AR 72758; Fixed Insurance Sales Agent since 11/2019; approximately 16 hours per month during business hours. 3) Oakwood Capital Securities; investment related; 5001 Founders Dr Suite 100 Rogers AR 72758 US; Registered Representative; Sale of variable products; Management; Start date: 2024-01-11; 10 Hours per month all during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Timothy Micheal Rodgers'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: 5001 W Founders Way Suite 100, Rogers, AR 72758RIA
CRD#: 319484
Rogers, AR
Current
January 11, 2024 - Present
OAKWOOD CAPITAL SECURITIES, INC.
Office #1: 5001 Founders Dr., Rogers, AR 72758BD
CRD#: 21000
Rogers, AR
Past
June 23, 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
November 15, 2019 - January 10, 2024
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
Rogers, AR
Past
April 27, 2018 - November 20, 2019
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
DALLAS, TX
Past
January 25, 2018 - November 20, 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
Alabama(1/11/2024)
RR
Arizona(1/11/2024)
IAR
Arkansas(1/11/2023)
RR
Arkansas(1/11/2024)
RR
California(1/11/2024)
RR
Colorado(1/11/2024)
RR
Florida(1/11/2024)
RR
Georgia(1/11/2024)
RR
Illinois(1/11/2024)
RR
Kansas(1/11/2024)
RR
Kentucky(1/11/2024)
RR
Louisiana(1/11/2024)
RR
Michigan(10/1/2024)
RR
Minnesota(1/11/2024)
RR
Mississippi(1/11/2024)
RR
Missouri(1/11/2024)
RR
Nebraska(3/6/2024)
RR
Nevada(1/11/2024)
RR
New Jersey(1/11/2024)
RR
New York(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)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
