DM
Dawson B. Moses
49 FINANCIAL
Daphne, AL
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CRD#: 7408916
DM
Professional summary
Dawson Bennett Moses is a registered financial advisor currently at 49 FINANCIAL located in Daphne, Alabama.
Dawson is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Dawson has worked at 2 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.
1) Fixed Insurance; Investment Related; 3711 S MoPac Expwy, Suite 150, Austin, TX 78746; Fixed/Traditional Insurance; Title - Agent; Start - 7/2021; 4 Hrs/Mth; 4 During Securities Trading Hrs; Sales of Fixed/Traditional Insurance Products 2) Sunrise Traditions Trust; Non-investment related; 200 Amelia Lane Aledo TX 76008; Trustee; Trustee on relative's trust; 0 hours per month before and after trading hours 3) Oakwood Capital Securities; Investment related; 600 US Highway 169, Minneapolis, MN 55426; Broker Dealer; Registered Representative; Since 11/01/2025; 20 hours per month during trading hours; registered representative of broker dealer
CRS (Client Relationship Summary) - RIA
Click below to view Dawson Bennett Moses'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
April 7, 2023 - Present
49 FINANCIAL
RIA
CRD#: 319484
Daphne, AL
Past
July 16, 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.Highlighted states indicate IAR registrations
IAR
Alabama(7/17/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 7/16/2021
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
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
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.
