DS
David B. Stevenson
OAKWOOD CAPITAL
Edina, MN
Some features on this profile are disabled
CRD#: 1087620
DS
Professional summary
David Bower Stevenson, who also goes by David Bower Steverson, is a registered financial advisor currently at OAKWOOD CAPITAL, INC. located in Edina, Minnesota and OAKWOOD CAPITAL SECURITIES, INC. located in St. Louis Park, Minnesota.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. David has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 5, Series 3, Series 15 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
David Bower Steverson
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 OAKWOOD CAPITAL, INC. (OC) 600 HIGHWAY 169, SUITE 1410, MINNEAPOLIS, MN 55426. (INVESTMENT RELATED BUSINESS - OC IS A STATE REGISTERED INVESTMENT ADVISOR) AFFILIATED WITH OC 09/15/2009. APPROXIMATELY 100 HOURS PER MONTH (BASED ON 160 WORKING HOURS IN A MONTH)ARE SPENT ON OC BUSINESS DURING TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view David Bower Stevenson's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
July 24, 2012 - Present
OAKWOOD CAPITAL, INC.
RIA
CRD#: 112399
Edina, MN
Current
March 19, 2024 - Present
OAKWOOD CAPITAL SECURITIES, INC.
Office #1: 600 Highway 169 South Suite 1410, St. Louis Park, MN 55426BD
CRD#: 21000
St. Louis Park, MN
Past
July 24, 2012 - December 31, 2020
OAKWOOD CAPITAL, INC.
RIA
CRD#: 112399
EDINA, MN
Past
September 15, 2009 - December 31, 2023
OAKWOOD CAPITAL SECURITIES, INC.
BD
CRD#: 21000
EDINA, MN
Past
April 19, 2005 - September 24, 2009
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
EDINA, MN
Past
March 2, 1998 - September 24, 2009
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
EDINA, MN
Past
September 11, 1993 - March 2, 1998
DAIN RAUSCHER INCORPORATED
BD
CRD#: 7600
Past
January 26, 1983 - September 13, 1993
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
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".
OC
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)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
IAR
Arizona(4/6/2021)
IAR
Colorado(4/26/2023)
RR
Colorado(3/20/2024)
IAR
Florida(7/12/2017)
IAR
Iowa(7/24/2012)
RR
Iowa(3/22/2024)
IAR
Minnesota(1/1/2014)
RR
Minnesota(3/19/2024)
IAR
Wisconsin(1/14/2013)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 5
Date: 6/30/1983
Interest Rate Options ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 15
Date: 3/7/1983
Foreign Currency Options ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
OC
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)Upgrade to AdvisorCheck Premium
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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
20
SEC notice filing (17 States and Territories)
Documents
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.
