DC
Daniel J. Colich
OAKWOOD CAPITAL
CHANHASSEN, MN
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CRD#: 1336351
DC
Professional summary
Daniel Joseph Colich is a registered financial advisor currently at OAKWOOD CAPITAL, INC. located in Chanhassen, Minnesota and OAKWOOD CAPITAL SECURITIES, INC. located in Chanhassen, Minnesota.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Daniel has worked at 7 firms and has passed the Series 65, Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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 S, SUITE 1410, MINNEAPOLIS, MN 55426. (INVESTMENT RELATED BUSINESS - OC IS AN SEC REGISTERED INVESTMENT ADVISOR) AFFILIATED WITH OC 1/1/2009. 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 Daniel Joseph Colich'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
January 17, 2014 - Present
OAKWOOD CAPITAL, INC.
RIA
CRD#: 112399
CHANHASSEN, MN
Current
August 18, 2008 - Present
OAKWOOD CAPITAL SECURITIES, INC.
BD
CRD#: 21000
Chanhassen, MN
Past
January 17, 2014 - December 31, 2020
OAKWOOD CAPITAL, INC.
RIA
CRD#: 112399
MINNEAPOLIS, MN
Past
November 15, 2001 - August 6, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
ST. PAUL, MN
Past
September 8, 1998 - August 6, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
ST. PAUL, MN
Past
July 19, 1991 - November 26, 1991
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
July 19, 1991 - November 26, 1991
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Past
June 4, 1986 - March 3, 1990
CRAIG-HALLUM, INC.
BD
CRD#: 1546
Past
February 21, 1985 - June 11, 1986
IRI SECURITIES CORPORATION
BD
CRD#: 10004
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(3/8/2021)
IAR
Arizona(11/18/2022)
RR
Kansas(1/3/2023)
RR
Minnesota(8/18/2008)
IAR
Minnesota(1/17/2014)
IAR
Pennsylvania(4/7/2025)
RR
Wisconsin(8/7/2014)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General 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.
