AS
Ava L. Smagacz
49 FINANCIAL
Charlotte, NC 28208
Some features on this profile are disabled
CRD#: 7561424
AS
Professional summary
Ava Louise Smagacz is a registered financial advisor currently at 49 FINANCIAL located in Charlotte, North Carolina and OAKWOOD CAPITAL SECURITIES, INC. located in Charlotte, North Carolina.
Ava is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Ava 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.
1) 49 Financial / Fixed insurance/ Licensed insurance agent / Non-Investment related / since 6/2022 / 1213 W Morehead St. Suite 508, Charlotte, NC 28208/ 40 hours per month / / Meet with clients, discuss financial goals and needs, and, if applicable, provide fixed insurance services. 2) 49 Wealth Management; Investment Advisor Representative; Investment related; 1213 W Morehead St, Suite 527, Charlotte, NC 28208 since 5/2022; Comprehensive financial planning; gives advice to clients to client on the investment part of the plan; Approximately 40 hours a month specifically utilizing this license. 3) Oakwood Capital Securities; Investment Related; 1213 W Morehead St, Suite 527 Charlotte NC 28208; Registered Representative; Start: 07/2024; 10 hours per month during trading hours. 5 hours per month outside of trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Ava Louise Smagacz'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
July 4, 2024 - Present
49 FINANCIAL
Office #1: 1213 W Morehead St Suite 508, Charlotte, NC 28208RIA
CRD#: 319484
Charlotte, NC
Current
July 23, 2024 - Present
OAKWOOD CAPITAL SECURITIES, INC.
Office #1: 1213 W Morehead St Suite 508, Charlotte, NC 28208BD
CRD#: 21000
Charlotte, NC
Past
May 31, 2022 - January 9, 2024
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
Charlotte, NC
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
IAR
North Carolina(7/4/2024)
RR
North Carolina(7/23/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 5/31/2022
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
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
