Nicholas J. Bishop

49 FINANCIAL

AUSTIN, TX 78746

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CRD#: 6917573

Professional summary

Nicholas John Bishop, who also goes by Nicholas Bishop, Nick Bishop, is a registered financial advisor currently at 49 FINANCIAL located in Austin, Texas and OAKWOOD CAPITAL SECURITIES, INC. located in Austin, Texas.

Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Nicholas has worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Nicholas Bishop | Nick Bishop

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.

49 Wealth Management. Investment advisor representative since 01/2023. Business is conducted from 3711 S MoPac Expy, Ste 105, Austin, TX 78735. Approximately 90% of Nicholas Bishop's time is for services as an investment advisor representative and the balance as a registered representative. 49 Financial; fixed insurance agent; Insurance Sales; 3711 S MoPac Expy, Ste 105, Austin, TX 78735; Non-Investment Related; since 01/2023; Provide investment and insurance related advice and business; Appx 10% of time during the month

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas John Bishop's CRS (Customer Relationship Summary).

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®

None

Experience

Current

January 3, 2023 - Present

49 FINANCIAL

Office #1: 3711 S Mopac Expy Suite 150, Austin, TX 78746

RIA

CRD#: 319484

AUSTIN, TX

Current

July 25, 2024 - Present

OAKWOOD CAPITAL SECURITIES, INC.

Office #1: 3711 S Mopac Expressway Suite 150, Austin, TX 78746

CRD#: 21000

Austin, TX

Past

June 24, 2020 - December 31, 2022

THRIVENT ADVISOR NETWORK, LLC

RIA

CRD#: 304569

Austin, TX

Past

April 1, 2020 - July 2, 2020

PKS ADVISORY SERVICES, LLC

RIA

CRD#: 125648

ALBANY, NY

Past

March 27, 2020 - January 16, 2024

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

Austin, TX

Past

January 28, 2020 - March 30, 2020

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

AUSTIN, TX

Past

May 15, 2018 - March 30, 2020

EQUITABLE ADVISORS, LLC

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.

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
(1/3/2023)

Texas
(7/25/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/19/2019

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/7/2018

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/15/2018

General Securities Representative Examination

SRO Registrations

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)

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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

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE (7/31/2025)

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	Cover Page	Report

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.

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Firm Stability Insights

Nicholas J. Bishop

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas John Bishop's CRS (Customer Relationship Summary).

Certified licenses

Experience

OAKWOOD CAPITAL SECURITIES, INC.

THRIVENT ADVISOR NETWORK, LLC

PKS ADVISORY SERVICES, LLC

PURSHE KAPLAN STERLING INVESTMENTS

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

49 FINANCIAL

State Registrations and Notice Filings

Exams

Series 66

Date: 12/19/2019

Series 63

Date: 6/7/2018

SIE

Date: 10/1/2018

Series 7

Date: 5/15/2018

FINRA

Current Firm

49 FINANCIAL

Contact information

SEC notice filing (35 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

49 FINANCIAL

TRUST BUT VERIFY

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