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WF

William T. French

OAKWOOD CAPITAL SECURITIES
Pasadena, CA 91105
Some features on this profile are disabled
CRD#: 1274357
WF

Professional summary

William Thomas French JR, who also goes by Bill French, William Thomas French, is a registered financial professional currently at OAKWOOD CAPITAL SECURITIES, INC. located in Pasadena, California.

William is registered as a RR (Registered Representative) and started their career in finance in 1984. William has worked at 10 firms and has passed the Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Bill French | William Thomas French

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) - BD

Click below to view William Thomas French JR's CRS (Customer Relationship Summary).
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®
None

Experience

Current

February 28, 2023 - Present

OAKWOOD CAPITAL SECURITIES, INC.

Office #1: 141 West Green Street, Pasadena, CA 91105
BD
CRD#: 21000
Pasadena, CA
Past

August 26, 2014 - March 1, 2023

KESTRA INVESTMENT SERVICES, LLC

BD
CRD#: 42046
PASADENA, CA
Past

March 29, 2012 - September 2, 2014

FINANCIAL TELESIS INC

BD
CRD#: 31012
PASADENA, CA
Past

March 31, 2011 - March 9, 2012

LPL FINANCIAL LLC

BD
CRD#: 6413
PASADENA, CA
Past

December 2, 2009 - March 31, 2011

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

BD
CRD#: 20804
PASADENA, CA
Past

July 22, 2008 - October 19, 2009

NRP FINANCIAL, INC.

BD
CRD#: 103717
PASADENA, CA
Past

December 1, 2006 - July 23, 2008

OSAIC SERVICES, INC.

BD
CRD#: 133763
PASADENA, CA
Past

August 23, 2001 - December 31, 2004

CINCINNATI ANALYSTS, INC.

BD
CRD#: 5478
CINCINNATI, OH
Past

January 3, 1997 - November 29, 1999

ONE ORCHARD EQUITIES, INC.

BD
CRD#: 42124
GREENWOOD VILLAGE, CO
Past

September 24, 1984 - January 3, 1997

THE GREAT-WEST LIFE ASSURANCE COMPANY

BD
CRD#: 5927
ENGLEWOOD, CO

State Registrations and Notice Filings

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

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
(2/28/2023)
RR
California
(2/28/2023)
RR
Massachusetts
(3/1/2023)
RR
Missouri
(2/28/2023)
RR
New Mexico
(2/28/2023)
RR
New York
(2/28/2023)
RR
Pennsylvania
(10/22/2024)
RR
Puerto Rico
(5/3/2023)
RR
Texas
(10/21/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 6/10/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 9/21/1984
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

OC
OAKWOOD CAPITAL SECURITIES, INC.
GARDNER FINANCIAL SERVICES, INC. | OAKWOOD CAPITAL SECURITIES, INC.

CRD#: 21000 / SEC#: , 8-38631

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
600 Highway 169 South Suite 1410, St. Louis Park, MN 55426
Mailing Address
600 Highway 169 South Suite 1410, St. Louis Park, MN 55426
Phone number
(952) 935-4601
Established
Minnesota since 05/11/1987
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
OAKWOOD CAPITAL SECURITIES, LLCOWNER
BASKETT, ERINFINOP, PFO, POO4538604
KING, BRANDON DOUGLASVICE PRESIDENT6371003
KING, DOUGLAS STEPHANPRESIDENT, CHIEF COMPLIANCE OFFICER1375683
KING, JASON THOMASVICE PRESIDENT6343030

Disclosures

Regulatory Event1
Bond1

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.

Company Information

OAKWOOD CAPITAL SECURITIES, INC.

CRD#: 21000Pasadena, CA 91105

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