Cole M. Pettis

49 FINANCIAL

Richardson, TX 75080

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CRD#: 7564903

Professional summary

Cole Michael Pettis is a registered financial advisor currently at 49 FINANCIAL located in Richardson, Texas.

Cole is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Cole 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.

Financial Independence Group; investment related; 3400 N Central Expy, Unit 110, Richardson, TX 75080 United States; Fixed Life/Health Insurance; Fixed Insurance Agent; Start date: 2022-01-01; 160 Hours per month all during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cole Michael Pettis's CRS (Customer Relationship Summary).

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®

None

Experience

Current

June 16, 2023 - Present

49 FINANCIAL

Office #1: 3400 N Central Expy Suite 110-210, Richardson, TX 75080

RIA

CRD#: 319484

Richardson, TX

Past

July 23, 2024 - December 17, 2024

OAKWOOD CAPITAL SECURITIES, INC.

CRD#: 21000

Dallas, TX

Past

June 6, 2022 - January 11, 2024

PURSHE KAPLAN STERLING INVESTMENTS

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

Texas
(6/16/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/3/2023

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/13/2022

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 6/4/2022

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 5/21/2022

Securities Industry Essentials Examination

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)

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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

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE (7/31/2025)

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	Cover Page	Report

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.

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Cole M. Pettis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cole Michael Pettis's CRS (Customer Relationship Summary).

Certified licenses

Experience

OAKWOOD CAPITAL SECURITIES, INC.

PURSHE KAPLAN STERLING INVESTMENTS

Primary Firm SEC Registration

49 FINANCIAL

State Registrations and Notice Filings

Exams

Series 65

Date: 6/3/2023

Series 63

Date: 4/13/2022

Series 6TO

Date: 6/4/2022

SIE

Date: 5/21/2022

Current Firm

49 FINANCIAL

Contact information

SEC notice filing (35 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

49 FINANCIAL

TRUST BUT VERIFY

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