KG
Kristin L. Griffin
49 FINANCIAL
AUSTIN, TX 78746
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CRD#: 7154538
KG
Professional summary
Kristin Leigh Griffin, who also goes by Kristin Griffin, Kristin Leigh Mcqueen, Kristin Mcqueen, is a registered financial advisor currently at 49 FINANCIAL located in Austin, Texas and OAKWOOD CAPITAL SECURITIES, INC. located in St. Louis Park, Minnesota.
Kristin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Kristin has worked at 5 firms and has passed the Series 66, Series 63, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kristin Griffin | Kristin Leigh Mcqueen | Kristin Mcqueen
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; 916 S. Capital of Texas Highway, Suite 2.100, Austin, TX 78746; an SEC RIA firm; Investment Adviser Representative; Financial Advisor servicing individual and small business clients since 01/2023; Approximately 90% of her time is for services as an investment advisor representative during business hours. 2) 49 Financial through Financial Independence Group; Non-Investment Related; 916 S. Capital of Texas Highway, Suite 2.100, Austin, TX 78746; Fixed Insurance Sales Agent since 11/2019; approximately 16 hours per month during business hours. 3) Oakwood Capital Securities; Investment related; 916 S. Capital of Texas Highway, Suite 2.100, Austin, TX 78746; Registered Representative; Start date: 01/2024. 4) Alongside, LLC; Sr, Manager, Client Operations & Compliance; Investment related; 3711 S MoPac Expy, Suite 150, Austin, TX 78746; since 6/2/2025; Operational support for centralized systems and management of daily compliance functions of SEC Registered Investment Adviser; 30 hours per month during business hours
CRS (Client Relationship Summary) - RIA
Click below to view Kristin Leigh Griffin'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: 3711 S Mopac Expy Suite 150, Austin, TX 78746RIA
CRD#: 319484
AUSTIN, TX
Current
January 3, 2024 - Present
OAKWOOD CAPITAL SECURITIES, INC.
Office #1: 600 Highway 169 South Suite 1410, St. Louis Park, MN 55426BD
CRD#: 21000
St. Louis Park, MN
Past
September 15, 2020 - December 31, 2022
THRIVENT ADVISOR NETWORK, LLC
RIA
CRD#: 304569
Austin, TX
Past
November 8, 2019 - January 4, 2024
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
Austin, TX
Past
August 5, 2019 - November 22, 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(1/3/2024)
RR
Arkansas(1/3/2024)
RR
California(1/3/2024)
RR
Florida(1/3/2024)
RR
Georgia(1/3/2024)
RR
Illinois(1/3/2024)
RR
Indiana(1/3/2024)
RR
Kansas(1/3/2024)
RR
Louisiana(1/3/2024)
RR
Maryland(1/3/2024)
RR
Minnesota(1/3/2024)
RR
Mississippi(1/3/2024)
RR
Missouri(1/3/2024)
RR
New Jersey(1/3/2024)
RR
New York(1/3/2024)
RR
North Carolina(1/3/2024)
RR
Oklahoma(1/9/2024)
RR
Pennsylvania(1/3/2024)
RR
South Carolina(1/3/2024)
IAR
Texas(1/3/2023)
RR
Texas(1/3/2024)
RR
Virginia(1/3/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/4/2019
General Securities Representative ExaminationGeneral 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.
