WH
William J. Haberman
OAKWOOD CAPITAL
PLYMOUTH, MN
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CRD#: 1273944
WH
Professional summary
William Joseph Haberman, CFP®, who also goes by Bill Haberman, is a registered financial advisor currently at OAKWOOD CAPITAL, INC. located in Plymouth, Minnesota and OAKWOOD CAPITAL SECURITIES, INC. located in Plymouth, Minnesota.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. William has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bill Haberman
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.
Independent Fixed Insurance Agent; 12030 28th Avenue N, Plymouth, MN 55441; Works approximately 10 hours per month selling fixed and fixed index insurance and annuity products in this investment-related activity during securities trading hours since 09/1996. Lifetime Financial Strategies, LLC, a Wealth Management and Financial Planning firm; 12030 28th Avenue N, Plymouth, MN 55441; Owner and insurance agent since 09/1996; Works approximately 80 hours per month during securities trading hours in this investment-related activity. Oakwood Capital, Inc., an SEC Registered Investment Adviser; 600 Highway 169 S, Ste 1410, Minneapolis, MN 55426; Investment Adviser Representative since 07/14/2000; Works approximately 80 hours per month during securities trading hours in this investment-related activity.
CRS (Client Relationship Summary) - RIA
Click below to view William Joseph Haberman'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®
CFP®
Start date: 1996
Experience
Current
December 9, 2013 - Present
OAKWOOD CAPITAL, INC.
RIA
CRD#: 112399
PLYMOUTH, MN
Current
August 26, 2002 - Present
OAKWOOD CAPITAL SECURITIES, INC.
BD
CRD#: 21000
Plymouth, MN
Past
June 19, 2012 - December 31, 2020
OAKWOOD CAPITAL, INC.
RIA
CRD#: 112399
MINNEAPOLIS, MN
Past
March 16, 1990 - August 25, 1992
TITAN/VALUE EQUITIES GROUP, INC.
BD
CRD#: 6359
IRVINE, CA
Past
November 19, 1989 - March 21, 1990
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
February 16, 1989 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
BD
CRD#: 6403
Past
October 12, 1988 - March 1, 1989
SOUTHMARK FINANCIAL SERVICES, INC.
BD
CRD#: 6518
Past
July 26, 1984 - December 24, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
BD
CRD#: 6320
Past
July 26, 1984 - November 3, 1988
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
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
RR
Arizona(6/20/2014)
IAR
Arizona(12/3/2015)
IAR
California(3/22/2022)
IAR
Florida(4/30/2019)
RR
Florida(2/1/2023)
RR
Minnesota(7/31/2002)
IAR
Minnesota(12/9/2013)
IAR
Wisconsin(3/21/2019)
RR
Wisconsin(4/15/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
