KS
Kyle J. Sweeney
49 FINANCIAL
Richardson, TX 75080
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CRD#: 7417982
KS
Professional summary
Kyle Joseph Sweeney, who also goes by Kyle Sweeney, is a registered financial advisor currently at 49 FINANCIAL located in Richardson, Texas and OAKWOOD CAPITAL SECURITIES, INC. located in Richardson, Texas.
Kyle is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Kyle 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
Kyle Sweeney
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; non-Investment Related; 3400 N Central Expy, Suite�#110-260, Richardson, TX 75080; Fixed/Traditional Insurance; Title - Agent; Start - 8/9/2021; 4 Hrs/Mth; 4 During Securities Trading Hrs; Sales Of Fixed/Traditional Insurance Products 2) Dallas Cowboys flag runner team; not investment related, One Cowboys Way Frisco, TX 75034; on field flag runner during Cowboys games; flag runner; flag runner; 08/24/24; 10 hours/mth; 0 hrs/mth; running flags on the field during the Cowboys home games 3) 49 Wealth Management; Registered Investment Adviser; Investment Advisor Representative; Investment related; 3400 N Central Expy, Suite�#110-260, Richardson, TX 75080; since 4/30/2024; Comprehensive financial planning; gives advice to clients to client on the investment part of the plan; Approximately 160 hours a month during and after business hours 4) Oakwood Capital; investment related; 600 Highway 169 S, Suite 1410 Minneapolis MN 55426 USA; Variable Investments; Registered Representative; Start date: 2024-07-29; 30 Hours per month during trading hours; 10 Hours per month outside trading hours. 5) Financial Independence Group; investment related; 19520 W Catawba Ave #200 Cornelius NC 28031 USA; Fixed insurance; Insurance Agent; Start date: 2021-08-09; 30 Hours per month during trading hours; 10 Hours per month outside trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Kyle Joseph Sweeney'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 25, 2024 - Present
49 FINANCIAL
Office #1: 3400 N Central Expy Suite 110-210, Richardson, TX 75080RIA
CRD#: 319484
Richardson, TX
Current
July 31, 2024 - Present
OAKWOOD CAPITAL SECURITIES, INC.
Office #1: 3400 N Central Expy Suite #110-260, Richardson, TX 75080BD
CRD#: 21000
Richardson, TX
Past
August 9, 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
Arizona(7/31/2024)
RR
California(7/31/2024)
RR
Colorado(7/31/2024)
RR
Florida(7/31/2024)
RR
Iowa(7/31/2024)
RR
Michigan(2/14/2025)
RR
Minnesota(7/31/2024)
RR
Nebraska(7/31/2024)
IAR
Texas(4/25/2024)
RR
Texas(7/31/2024)
RR
Virginia(7/31/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 8/7/2021
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.
Company Information
49 FINANCIAL
CRD#: 319484Richardson, TX 75080TRUST BUT VERIFY
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