CB
Chase A. Bertrand
49 FINANCIAL
AUSTIN, TX 78746
Some features on this profile are disabled
CRD#: 6912856
CB
Professional summary
Chase Alan Bertrand is a registered financial advisor currently at 49 FINANCIAL located in Austin, Texas and OAKWOOD CAPITAL SECURITIES, INC. located in Austin, Texas.
Chase is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Chase has worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 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 Financial; Vice President & Investment Adviser Representative; Investment Related: yes; 916 S. Capital of Texas Hwy, Suite 2.100, Austin TX. RIA. Associate. Start 11/1/2019. 160 hours per month during trading. Engage with clients to create financial plans. 2) Insurance Sales. Not Investment Related 916 S. Capital of Texas Hwy, Suite 2.100, Austin TX. Insurance. Agent. Start 11/1/2019. 80 hours per month during trading. Serve clients through fixed insurance. 3) Oakwood Capital Securities; investment related; 916 S Capital of Texas Hwy, Suite 2.100 Austin TX 78746 United States; Registered Representative; Sale of registered variable products; Oversee a team in Austin; Start date: 2018-08-01; 200 Hours per month all during trading hours. 4) Ranch Water Pool Co; Not Investment Related; 17229 Rossignol Cove Austin TX 78738 USA; Pool company; Owner; Start Date: 7/1/2025; 40 hours/month during & outside of trading hours; Grow, market, and manage the day-to-day responsibilities of the business
CRS (Client Relationship Summary) - RIA
Click below to view Chase Alan Bertrand'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 16, 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
November 14, 2019 - January 12, 2024
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
Austin, TX
Past
May 24, 2018 - November 19, 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
Alabama(1/11/2024)
RR
Arizona(1/11/2024)
RR
California(1/11/2024)
RR
Florida(1/11/2024)
RR
Illinois(1/11/2024)
RR
Indiana(1/11/2024)
RR
Kansas(1/11/2024)
RR
Nebraska(1/11/2024)
RR
New Jersey(1/11/2024)
RR
New York(1/11/2024)
RR
North Carolina(1/11/2024)
RR
Ohio(1/11/2024)
RR
Oklahoma(2/7/2024)
RR
Pennsylvania(6/27/2024)
RR
South Carolina(1/11/2024)
IAR
Texas(2/16/2023)
RR
Texas(1/11/2024)
Exams
State Security Law Exam
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
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.
