Roy R. Scott

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CRD#: 1060330

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Roy Robert Scott, who also goes by Scottie Robert Scott, was a registered financial professional .

Roy is a previously registered financial professional and started their career in finance in 1983. Roy had worked at 6 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Scottie Robert Scott

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.

INVESTMENT ADVISOR REPRESENTATIVE OF GARDNER ADVISORS, INC. (GA) 8421 WAYZATA BLVD, SUITE 350, MINNEAPOLIS, MN 55426. (INVESTMENT RELATED BUSINESS - GA IS A STATE REGISTERED INVESTMENT ADVISOR) AFFILIATED WITH GA 5/24/1994. APPROXIMATLEY 160 HOURS PER MONTH (BASED ON 160 WORKING HOURS IN A MONTH)ARE SPENT ON GA BUSINESS DURING TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 3, 2014 - December 31, 2020

OAKWOOD CAPITAL, INC.

RIA

CRD#: 112399

ST. LOUIS PARK, MN

Past

January 3, 2014 - August 1, 2022

OAKWOOD CAPITAL, INC.

RIA

CRD#: 112399

ST. LOUIS PARK, MN

Past

June 7, 1991 - April 9, 2014

OAKWOOD CAPITAL SECURITIES, INC.

CRD#: 21000

MINNETONKA, MN

Past

May 6, 1986 - June 7, 1991

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

Past

May 6, 1986 - June 7, 1991

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Past

September 18, 1984 - May 19, 1986

LPL FINANCIAL LLC

CRD#: 6413

Past

December 22, 1983 - October 10, 1984

KEENAN & CLAREY, INC.

CRD#: 482

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".

OAKWOOD CAPITAL, INC.

GARDNER ADVISORS | OAKWOOD CAPITAL, INC. | L.O. GARDNER INC. DBA GARDNER ADVISORS | GARDNER ADVISORS INC.

CRD#: 112399 / SEC#: 801-120259

RIA

Registered Investment Advisory firm - (2/4/2021 Approved)

Arizona

Registered Investment Advisory firm - (2/9/2021 Terminated)

Florida

Registered Investment Advisory firm - (2/9/2021 Terminated)

Iowa

Registered Investment Advisory firm - (2/10/2021 Terminated)

Minnesota

Registered Investment Advisory firm - (2/23/2021 Terminated)

Montana

Registered Investment Advisory firm - (2/9/2021 Terminated)

North Dakota

Registered Investment Advisory firm - (2/9/2021 Terminated)

South Dakota

Registered Investment Advisory firm - (2/9/2021 Terminated)

Wisconsin

Registered Investment Advisory firm - (2/9/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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

Series 63

Date: 1/12/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/17/1983

General Securities Representative Examination

Current Firm

OAKWOOD CAPITAL, INC.

GARDNER ADVISORS | OAKWOOD CAPITAL, INC. | L.O. GARDNER INC. DBA GARDNER ADVISORS | GARDNER ADVISORS INC.

CRD#: 112399 / SEC#: 801-120259

RIA

Registered Investment Advisory firm - (2/4/2021 Approved)

Arizona

Registered Investment Advisory firm - (2/9/2021 Terminated)

Florida

Registered Investment Advisory firm - (2/9/2021 Terminated)

Iowa

Registered Investment Advisory firm - (2/10/2021 Terminated)

Minnesota

Registered Investment Advisory firm - (2/23/2021 Terminated)

Montana

Registered Investment Advisory firm - (2/9/2021 Terminated)

North Dakota

Registered Investment Advisory firm - (2/9/2021 Terminated)

South Dakota

Registered Investment Advisory firm - (2/9/2021 Terminated)

Wisconsin

Registered Investment Advisory firm - (2/9/2021 Terminated)

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Contact information

Main Address

600 Highway 169 South Suite 1410, St. Louis Park, MN 55426

Mailing Address

Phone number

(952) 935-4601

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (17 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

OAKWOOD CAPITAL, INC. PART 2A (1/31/2025)

Regulatory assets under management

Total Number of Accounts	1,001
AUM (Assets Under Management)	$ 260,312,212

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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Firm Stability Insights

Roy R. Scott

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

OAKWOOD CAPITAL, INC.

OAKWOOD CAPITAL, INC.

OAKWOOD CAPITAL SECURITIES, INC.

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

LPL FINANCIAL LLC

KEENAN & CLAREY, INC.

Primary Firm SEC Registration

OAKWOOD CAPITAL, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 1/12/1984

Series 7

Date: 12/17/1983

Current Firm

OAKWOOD CAPITAL, INC.

Contact information

SEC notice filing (17 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

OAKWOOD CAPITAL, INC.

TRUST BUT VERIFY

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