AT
Austin D. Thompson
49 FINANCIAL
Houston, TX 77024
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CRD#: 7113371
AT
Professional summary
Austin David Thompson, who also goes by Austin Thompson, is a registered financial advisor currently at 49 FINANCIAL located in Houston, Texas and OAKWOOD CAPITAL SECURITIES, INC. located in Houston, Texas.
Austin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Austin has worked at 4 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Austin Thompson
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; Investment Related; Registered Investment Adviser; Investment Advisor Representative / Financial Professional; 1334 Brittmoore Rd Suite 2610, Houston, TX 77043; 07/2023; 120 Hrs/month during trading hours; Provide advice to clients. 2) 49 Financial; Fixed Insurance; Non-Investment Related; Fixed / Traditional Insurance; Brittmoore Rd Suite 2610, Houston, TX 77043; Agent since 07/2023 40 hours per month during and after trading hours; Sales of Fixed / Traditional insurance products. 3) Oakwood Capital Securities; investment related; 1334 Brittmoore Rd Houston TX 77043 USA; Registered Representative; Start date: 2024-07-23; 40 Hours per month during trading hours; 20 Hours per month outside trading hours. 4) Financial Independence Group; investment related; 1334 Brittmoore RD Houston TX 77043 USA; Fixed Insurance Agent; Start date: 2023-07-05; 40 Hours per month all during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Austin David Thompson'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
July 5, 2023 - Present
49 FINANCIAL
Office #1: 820 Gessner Ste 1250, Houston, TX 77024RIA
CRD#: 319484
Houston, TX
Current
July 23, 2024 - Present
OAKWOOD CAPITAL SECURITIES, INC.
Office #1: 820 Gessner Ste 316, Houston, TX 77024BD
CRD#: 21000
Houston, TX
Past
August 1, 2023 - January 16, 2024
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
Houston, TX
Past
November 21, 2019 - July 21, 2023
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
HOUSTON, TX
Past
June 3, 2019 - July 21, 2023
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
HOUSTON, 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
Florida(5/20/2025)
RR
Georgia(7/23/2024)
RR
Kentucky(9/30/2025)
IAR
Texas(7/5/2023)
RR
Texas(7/23/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 6/1/2019
General Securities Representative ExaminationGeneral 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
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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.
