Austin David Thompson
Investment Adviser Representative at 49 Financial
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Austin David Thompson is an investment adviser representative with 49 Financial in Houston, TX, where they have been registered since 2023. They have worked in the securities industry since 2019 and were previously registered with Equitable Advisors, LLC. They have passed 5 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent), Series 7 (general securities representative), and Series 24 (general securities principal). They are registered to provide investment advice in Texas.
Office
Advisors at this office: 7
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- Texas
- Broker:
7 states and territories
Alabama, Florida, Georgia, Indiana, New York, Oklahoma, Texas
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Cambridge Investment Research, Inc.Jun 2026 – no end date reportedFairfield, IA
- Cambridge Investment Research Advisors, Inc.Jun 2026 – no end date reportedFairfield, IA
- AvinextJun 2016 – Jan 2019College Station, TX
- Texas A&m UniversityAug 2015 – May 2019College Station, TX
- AXA Advisors, LLCMay 2019 – Jun 2020New York, NY
- Equitable Advisors, LLCMay 2019 – Jul 2023New York, NY
- 49 Wealth Management, LLCJul 2023 – Jun 2026Austin, TX
- Purshe Kaplan Sterling InvestmentsAug 2023 – Jul 2024Albany, NY
- Oakwood Capital Securities, Inc.Jul 2024 – Jun 2026Minneapolis, MN
Official records & sources
Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About 49 Financial
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Commissions
- Fixed fee
- Firm account minimum
- $25,000 (waivable)
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$1B–$5B
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 138
- Offices listed on AdvisorFinder:
- 10
- Main office:
- Austin, TX
- SEC file number:
- 801-123687
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of September 22, 2026
View full firm profileOther advisors at 49 Financial
Showing 12 of 138 in the directory
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Austin David Thompson has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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