RB
Ryan M. Botzong
49 FINANCIAL
Richardson, TX 75080
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CRD#: 7371590
RB
Professional summary
Ryan Mitchell Botzong is a registered financial advisor currently at 49 FINANCIAL located in Richardson, Texas and OAKWOOD CAPITAL SECURITIES, INC. located in Richardson, Texas.
Ryan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Ryan has worked at 3 firms and has passed the Series 65, Series 63, Series 6TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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 Related; 14555 Dallas Pkwy ste 100-212 Dallas, TX 75254; Investment Advisor Financial Professional; since 1/2024; 160 hours/160 trading hours a month - provide advice to clients. 49 Financial; Fixed Insurance; Agent; Non-Investment Related; 14555 Dallas Pkwy ste 100-212, Dallas TX 75254; since 5/2021; 160 hours/160 trading hours; provide fixed insurance products. Financial Independence Group; Fixed Insurance Agent; Investment Related; 19520 W Catawba Ave #200 Cornelius NC 28031; Start date: 2021-06-21; 60 hours/40 trading hours a month ; Percentage of total yearly compensation expected to be derived from the business: 30. Oakwood Capital Securities; Registered Representative; Investment Related; 600 Highway 169 S, Suite 1410 Minneapolis MN 55426; Start date: 2024-07-23; 59 hours/30 trading hours a month; Percentage of total yearly compensation expected to be derived from the business: 30.
CRS (Client Relationship Summary) - RIA
Click below to view Ryan Mitchell Botzong'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
December 7, 2023 - Present
49 FINANCIAL
Office #1: 3400 N Central Expy Suite 110-210, Richardson, TX 75080RIA
CRD#: 319484
Richardson, TX
Current
July 23, 2024 - Present
OAKWOOD CAPITAL SECURITIES, INC.
Office #1: 3400 N Central Expy Suite #110-260, Richardson, TX 75080BD
CRD#: 21000
Richardson, TX
Past
July 1, 2021 - January 11, 2024
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
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.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
Arkansas(7/23/2024)
RR
California(7/23/2024)
RR
Kentucky(7/23/2024)
RR
Louisiana(7/23/2024)
RR
Michigan(3/28/2025)
RR
New Jersey(7/23/2024)
RR
North Carolina(7/23/2024)
IAR
Texas(12/7/2023)
RR
Texas(7/23/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 6/2/2021
Investment Company Products/Variable Contracts 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
Registered Investment Advisory firm - (9/8/2022 Approved)Upgrade to AdvisorCheck Premium
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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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
49 FINANCIAL
CRD#: 319484Richardson, TX 75080TRUST BUT VERIFY
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