MR
Mitchell K. Roper
49 FINANCIAL
Atlanta, GA 30339
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CRD#: 7274307
MR
Professional summary
Mitchell Keith Roper, who also goes by Mitch Roper, is a registered financial advisor currently at 49 FINANCIAL located in Atlanta, Georgia and OAKWOOD CAPITAL SECURITIES, INC. located in Atlanta, Georgia.
Mitchell is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Mitchell has worked at 3 firms and has passed the Series 66, Series 63, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mitch Roper
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; FIXED INSURANCE AGENT; Non-INVESTMENT RELATED; 3101 Cobb Pkwy SE, Suite 124 Atlanta, GA 30339 ; DESCRIPTION: BGA THROUGH WHICH ALL FIXED INSURANCE BUSINESS ROUTES THROUGH; RESPONSIBILITIES DUTIES: LICENSED AGENT TO WRITE FIXED INSURANCE BUSINESS; START DATE: 2024-07-21; 10 HR/MO DEVOTED TO BUSINESS OUTSIDE TRADING; 20 HR/MO DEVOTED TO BUSINESS DURING TRADING. PERCENTAGE OF TOTAL YEARLY COMPENSATION EXPECTED TO BE DERIVED FROM THE BUSINESS: 60. 2) 49 Wealth Management LLC; Registered Investment Adviser; Investment Advisor Representative; 3101 Cobb Pkwy SE, Suite 124 Atlanta, GA 30339; since 1/2023; 40 hours per month during business hours; Comprehensive financial planning; gives advice to clients; Give investment related advice 3) Oakwood Capital Securities; investment related; 600 US-169 Ste 1410 Minneapolis, MN 55426 Minnesota 55426 United States; Acting as a Registered Representative for variable products.; Registered Representative; Discussing variable products with clients in the context of a holistic financial plan and implementing products as needed for their planning.; Start date: 2024-08-07; 10 Hours per month during trading hours; 5 Hours per month outside trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Mitchell Keith Roper'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
March 3, 2023 - Present
49 FINANCIAL
Office #1: 3101 Cobb Pkwy Se Suite 124, Atlanta, GA 30339RIA
CRD#: 319484
Atlanta, GA
Current
August 1, 2024 - Present
OAKWOOD CAPITAL SECURITIES, INC.
Office #1: 3101 Cobb Pkwy Se Suite 124, Atlanta, GA 30339BD
CRD#: 21000
Atlanta, GA
Past
September 26, 2020 - January 10, 2024
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
Atlanta, GA
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(8/1/2024)
RR
Florida(8/1/2024)
IAR
Georgia(3/3/2023)
RR
Georgia(8/1/2024)
RR
Idaho(8/1/2024)
RR
South Carolina(8/1/2024)
RR
Texas(8/1/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 9/26/2020
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.
