Douglas Stephan King
CFP®Professional Summary
Douglas Stephan King, CFP®, who also goes by Doug King, is a registered financial advisor currently at OAKWOOD CAPITAL, INC. located in Fort Myers, Florida and OAKWOOD CAPITAL SECURITIES, INC. located in Fort Myers, Florida. Douglas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Douglas has worked at 6 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, SIE,...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Services Offered
- Investment Planning
- Budgeting
- Tax Planning
- Insurance Planning
- Retirement Planning
- Debt Management
- Retirement Income Management
- Business Succession Planning
- Comprehensive Financial Planning
- Social Security Planning
- Inheritance
- Life Transitions
- Socially Responsible Investing
- Estate Planning
- Employee and Employer Plan Benefits
- Small Business Planning
- Education Planning
- Long-term Care
Other Aliases
Doug King
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
xxxxx@xxxx.xxx
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Disclosures on record.
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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Credentials
Years of Experience
41 years in the financial services industry
Current & Past Employments
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Current Firm
GARDNER ADVISORS | OAKWOOD CAPITAL, INC. | L.O. GARDNER INC. DBA GARDNER ADVISORS | GARDNER ADVISORS INC.
Contact Information
Main Address
600 Highway 169 South Suite 1410, St. Louis Park, MN 55426Phone Number
(952) 935-4601# of Employees
20SEC notice filing (17 States and Territories)
Registered to provide investment advisory services in 17 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
1,051AUM (Assets Under Management)
$304,181,730Similar Advisors
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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.
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Primary Firm SEC Registration
GARDNER ADVISORS | OAKWOOD CAPITAL, INC. | L.O. GARDNER INC. DBA GARDNER ADVISORS | GARDNER ADVISORS INC.
State Registrations and Notice Filings
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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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Jan 2023About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jan 2023About the Series 9 examSeries 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Aug 1995SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Douglas Stephan King's CRS (Customer Relationship Summary).
Services Offered by Douglas
- Investment Planning
- Budgeting
- Tax Planning
- Insurance Planning
- Retirement Planning
- Debt Management
- Retirement Income Management
- Business Succession Planning
- Comprehensive Financial Planning
- Social Security Planning
- Inheritance
- Life Transitions
- Socially Responsible Investing
- Estate Planning
- Employee and Employer Plan Benefits
- Small Business Planning
- Education Planning
- Long-term Care
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