Collin G. Plotts

49 FINANCIAL

AUSTIN, TX 78746

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CRD#: 7013522

Professional summary

Collin Gregory Plotts, who also goes by Collin Plotts, is a registered financial advisor currently at 49 FINANCIAL located in Austin, Texas.

Collin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Collin has worked at 3 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Collin Plotts

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) Financial Independence Group. Investment-related. 3711 S MoPac Expy, Ste 150, Austin, TX 78746. Fixed Insurance Agent/Financial Planner. Start date: 07/2024. 1 hr/month during trading hours. 2 hrs/month outside trading hours. 2) 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

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Collin Gregory Plotts'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

May 25, 2023 - Present

49 FINANCIAL

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

RIA

CRD#: 319484

AUSTIN, TX

Past

September 17, 2022 - January 16, 2024

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

Austin, TX

Past

October 31, 2019 - September 28, 2020

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

Austin, TX

Past

October 3, 2018 - October 30, 2019

EQUITABLE ADVISORS, LLC

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.

Highlighted states indicate IAR registrations

IAR

Texas
(5/25/2023)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/25/2023

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/1/2018

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/4/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/3/2018

General Securities Representative Examination

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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Advisor Monitoring

Firm Stability Insights

Collin G. Plotts

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Collin Gregory Plotts's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

PURSHE KAPLAN STERLING INVESTMENTS

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

49 FINANCIAL

State Registrations and Notice Filings

Exams

Series 66

Date: 5/25/2023

Series 63

Date: 11/1/2018

SIE

Date: 10/4/2018

Series 7

Date: 10/3/2018

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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