CB
CB

Chase Alan Bertrand

7 Years of Experience
BrokerSells Insurance
Areas of Practice
Investment ManagementRetirement PlanningTax PlanningEstate PlanningFinancial Planning & CoachingHigh Net Worth
Compensation
Commission-BasedFee-Only (AUM)Fixed/Hourly
Firm Size
105 advisors
Number of Clients
2,989 clients
Average Client Portfolio
$292K average
Assets Under Management
$871.4M

Fee Structure

Minimum Investment:$25K
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Location

3711 S Mopac Expy, Suite 150, Austin, TX, 78746

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business ActivitiesSells Insurance

Chase is a Vice President & Investment Adviser Representative at 49 Financial, spending full-time engaging with clients to create financial plans. Chase also works as an insurance agent, dedicating about half of their time to serving clients through fixed insurance, and is a Registered Representative with Oakwood Capital Securities, spending over full-time overseeing a team and selling registered variable products.

Employment History
Current Registrations
Oakwood Capital Securities, INC.Broker
January 2024 - Present · 2 yrs 1 mo
49 Financial
February 2023 - Present · 3 yrs
Previous Registrations
Purshe Kaplan Sterling InvestmentsBroker
November 2019 - January 2024 · 4 yrs 2 mos
AXA Advisors, LLCBroker
May 2018 - November 2019 · 1 yr 6 mos
State Registrations16 states
ALAZCAFLILINKSNCNENJNYOHOKPASCTX
AdvisorBrokerBoth
Exams
No exam information available for this advisor.