Richard G. Lee

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CRD#: 1086187

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.

Richard George Lee, who also goes by Rick Lee, was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 1985. Richard had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 3 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Rick Lee

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.

The advisor shows no other business activity.

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

March 8, 2010 - December 31, 2018

OAKWOOD CAPITAL, INC.

RIA

CRD#: 112399

MINNEAPOLIS, MN

Past

February 12, 2009 - December 31, 2020

OAKWOOD CAPITAL SECURITIES, INC.

CRD#: 21000

Fargo, ND

Past

January 24, 2005 - March 9, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

FARGO, ND

Past

January 14, 2005 - March 9, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

FARGO, ND

Past

March 27, 2001 - January 27, 2005

RBC CAPITAL MARKETS, LLC

RIA

CRD#: 31194

FARGO, ND

Past

July 7, 1998 - January 27, 2005

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEW YORK, NY

Past

January 22, 1997 - July 10, 1998

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

September 8, 1993 - February 10, 1997

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

August 19, 1985 - September 2, 1993

PIPER SANDLER & CO.

CRD#: 665

MINNEAPOLIS, MN

Past

June 21, 1985 - September 30, 1985

MF GLOBAL INC.

CRD#: 6731

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

IAR

Series 65

Date: 12/8/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/20/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/15/1985

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 11/24/1982

National Commodity Futures Examination

Principal/Supervisory Exam

Series 8

Date: 4/10/1992

General Securities Sales Supervisor Examination (Options Module & General Module)

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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Advisor Monitoring

Firm Stability Insights

Richard G. Lee

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

OAKWOOD CAPITAL SECURITIES, INC.

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

A. G. EDWARDS & SONS, INC.

UBS FINANCIAL SERVICES INC.

PIPER SANDLER & CO.

MF GLOBAL INC.

Primary Firm SEC Registration

OAKWOOD CAPITAL, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/8/1994

Series 63

Date: 9/20/1985

SIE

Date: 10/1/2018

Series 7

Date: 6/15/1985

Series 3

Date: 11/24/1982

Series 8

Date: 4/10/1992

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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