Travis Penfield has been an investment adviser representative at Alongside since May 2025, and is not listed among the firm’s executive officers or direct owners.
Alongside, LLC is an Austin, TX firm with $879M under management, 2,122 clients and 3 advisers across 7 offices, as of its June 2026 filing.
Travis Penfield’s longest registration was 6 years at Axa Advisors, LLC (2012–2019). Before joining Alongside in 2025, Travis Penfield was registered through Thrivent Advisor Network, LLC and PKS Advisory Services, LLC.
- 818 Family Office, LLCAlso current– present · under a yearAustin, TX · Adviser representative · Firm CRD 339082
- 49 FinancialAlso current– present · 3 yearsAustin, TX · Adviser representative · Firm CRD 319484
- Thrivent Advisor Network, LLC– · 2 yearsAustin, TX · Adviser representative · Firm CRD 304569
- PKS Advisory Services, LLC– · under a yearAlbany, NY · Adviser representative · Firm CRD 125648
- PKS Advisory Services, LLC– · under a yearAlbany, NY · Adviser representative · Firm CRD 125648
- Axa Advisors, LLC– · 6 yearsAustin, TX · Adviser representative · Firm CRD 6627
Investment adviser representative registrations
Travis Penfield is registered as an investment adviser representative in Texas, since January 2023.
- TexasSince 4 January 2023
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 23 December 2013 |
| Series 66 | Uniform Combined State Law Examination | 1 October 2012 |
| Series 7 | General Securities Representative Examination | 10 September 2012 |
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Travis Jordan Penfield
- CRD
- 6104530
- Firm
- Alongside · CRD 333587
- Office
- 3711 S MOPAC EXPY, SUITE 150, Austin, TX 78746
- Registration
- Investment adviser registration
- In the industry since
- September 2012
- Disciplinary history
- Not yet shown here · SEC record
Where does Travis Penfield work?
Travis Penfield is an investment adviser representative registered through Alongside, LLC since May 2025, and is not listed among the firm’s executive officers or direct owners.
Is Travis Penfield a financial advisor?
Yes. Travis Penfield has a current investment-adviser registration in Texas, through Alongside since May 2025.
How many years of experience does Travis Penfield have?
Travis Penfield has 14 years in the financial industry, since September 2012, across 6 adviser firms.
What exams has Travis Penfield passed?
Travis Penfield has passed 4 licensing exams: the Series 7, Series 66, Series 24 and Series 99TO. The earliest, the Series 7, was passed in September 2012. FINRA credited Travis Penfield with the SIE, which began in October 2018.
Where did Travis Penfield work before Alongside?
Before Alongside, Travis Penfield was registered through Thrivent Advisor Network, LLC, June 2020 to December 2022; PKS Advisory Services, LLC, January 2020 to July 2020; PKS Advisory Services, LLC, November 2019 to November 2019; Axa Advisors, LLC, November 2012 to November 2019.
Where is Travis Penfield based?
Travis Penfield’s registered office is in Austin, TX.
Is Travis Penfield registered with FINRA?
No. Travis Penfield has no current broker registration.
How can I verify Travis Penfield’s record?
Search CRD 6104530 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Travis Penfield’s full registration record.