William J. Haberman

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CRD#: 1273944

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.

William Joseph Haberman, CFP®, who also goes by Bill Haberman, was a registered financial professional .

William is a previously registered financial professional and started their career in finance in 1984. William had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.

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.

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®

CFP^®

Certified Financial Planner

Start date: 1996

Experience

Past

December 9, 2013 - December 5, 2025

OAKWOOD CAPITAL, INC.

RIA

CRD#: 112399

PLYMOUTH, MN

Past

June 19, 2012 - December 31, 2020

OAKWOOD CAPITAL, INC.

RIA

CRD#: 112399

MINNEAPOLIS, MN

Past

August 26, 2002 - December 5, 2025

OAKWOOD CAPITAL SECURITIES, INC.

CRD#: 21000

Plymouth, MN

Past

March 16, 1990 - August 25, 1992

TITAN/VALUE EQUITIES GROUP, INC.

CRD#: 6359

IRVINE, CA

Past

November 19, 1989 - March 21, 1990

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

February 16, 1989 - November 19, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

October 12, 1988 - March 1, 1989

SOUTHMARK FINANCIAL SERVICES, INC.

CRD#: 6518

Past

July 26, 1984 - December 24, 1986

AMERICAN EXPRESS FINANCIAL CORPORATION

CRD#: 6320

Past

July 26, 1984 - November 3, 1988

AMERIPRISE FINANCIAL SERVICES, LLC

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".

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 66

Date: 1/8/2001

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/30/1997

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: 7/23/2002

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/29/1990

General Securities Principal 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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Advisor Monitoring

Firm Stability Insights

William J. Haberman

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

OAKWOOD CAPITAL, INC.

OAKWOOD CAPITAL SECURITIES, INC.

TITAN/VALUE EQUITIES GROUP, INC.

OSAIC WEALTH, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

SOUTHMARK FINANCIAL SERVICES, INC.

AMERICAN EXPRESS FINANCIAL CORPORATION

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

OAKWOOD CAPITAL, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 1/8/2001

Series 63

Date: 1/30/1997

SIE

Date: 10/1/2018

Series 7

Date: 7/23/2002

Series 24

Date: 8/29/1990

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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