JR
Jacob H. Roos
49 FINANCIAL
AUSTIN, TX 78746
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CRD#: 7413707
JR
Professional summary
Jacob Henry Roos, who also goes by Jacob H Roos, is a registered financial advisor currently at 49 FINANCIAL located in Austin, Texas and OAKWOOD CAPITAL SECURITIES, INC. located in Austin, Texas.
Jacob is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Jacob has worked at 4 firms and has passed the Series 65, Series 63, Series 6TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jacob H Roos
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; Insurance Sales; 3711 S MoPac Expy, Ste 105, Austin, TX 78735; non-Investment related since 08/09/2021; fixed insurance agent as part of financial advising services; 40 hours per month with 12 hours during trading hours; Broker fixed life, long-term care, and disability insurance 2. 49 Wealth Management LLC. Registered Investment Adviser; Investment advisor representative since 08/09/2021. Business is conducted from 3711 S MoPac Expy, Ste 105, Austin, TX 78735. Approximately 90% of Jacob's time is for services as an investment advisor representative and the balance as a registered representative. 3. Oakwood Capital Securities; Registered Representative; Investment related: Yes; Location: 600 US-169 Ste 1410 Minneapolis MN 55426; Description: Occasionally transact variable investments for clients as part of a team of fiduciaries; Start date: 2024-07-28; Hours devoted to business during trading hours: 12; Hours devoted to business outside trading hours: 0. Percentage of total yearly compensation expected to be derived from the business: 10.
CRS (Client Relationship Summary) - RIA
Click below to view Jacob Henry Roos'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
July 25, 2024 - Present
OAKWOOD CAPITAL SECURITIES, INC.
Office #1: 3711 S Mopac Expressway Suite 150, Austin, TX 78746BD
CRD#: 21000
Austin, TX
Past
May 9, 2022 - December 31, 2022
THRIVENT ADVISOR NETWORK, LLC
RIA
CRD#: 304569
Austin, TX
Past
July 27, 2021 - January 18, 2024
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
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
California(7/25/2024)
RR
Connecticut(7/25/2024)
RR
Georgia(7/25/2024)
RR
Kansas(7/21/2025)
RR
South Carolina(7/25/2024)
RR
Tennessee(7/25/2024)
IAR
Texas(1/3/2023)
RR
Texas(7/25/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 7/27/2021
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
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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.
