Douglas S. King
OAKWOOD CAPITAL
Fort Myers, FL 33907
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CRD#: 1375683
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, Series 7, Series 14, Series 10, Series 9, Series 24 and Series 8 exams.
Question & Answer
What are your service offerings?
Investment Planning
Budgeting
Tax Planning
Insurance Planning
Retirement Planning
Debt Management
Retirement Income Management
Business Succession Planning
Comprehensive Financial Planni...
Social Security Planning
Inheritance
Life Transitions
Socially Responsible Investing
Estate Planning
Employee and Employer Plan Ben...
Small Business Planning
Education Planning
Long-term Care
Are you a "fiduciary"?
Yes
Aliases
Doug King
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.
1. Northern Star Council, Scouts USA: Investment Related: No; Address: 6202 Bloomington Road, St. Paul, MN 55111; Since 05/2017; Position/Title: Member, Board of Directors; Apx 2-3 hours per quarter during trading hours; Brief Description of Duties: Provides guidance on corporate governance for this non-profit company. 2. Oakwood Capital Advisors, LLC: Investment Related: Yes; Address: 15701 S Tamiami Trl Ste 300, Fort Myers, FL 33908-4236 and 600 Highway 169 S, Ste 1410, Minneapolis, MN 55426; Nature of Business: Financial Services; Start Date: 03/2018; Position/Title/Relationship: President, CEO, Financial Advisor; Apx 10-15 hours per week during trading hours; Duties: Provides financial planning and wealth management services to individual clients and small businesses. 3. Oakwood Capital Insurance Solutions, LLC: Investment Related: No; Address: 15701 S Tamiami Trl Ste 300, Fort Myers, FL 33908-4236 and 600 Highway 169 S, Ste 1410, Minneapolis, MN 55426; Nature of Business: Insurance Marketing Organization; Start Date: 06/2020; Position/Title/Relationship: President, CEO, Agent; Apx 3-5 hours per week during market hours; Duties: Offers fixed insurance and annuity products to individual clients. 4. Fixed Insurance Agent: Investment Related: No; Address: 15701 S Tamiami Trl Ste 300, Fort Myers, FL 33908-4236 and 600 Highway 169 S, Ste 1410, Minneapolis, MN 55426; Start Date: 06/2020; Apx 3-5 hours per week during market hours; Duties: Offers fixed insurance and annuity products to individual clients. 5. Oakwood Capital Securities, LLC: Investment Related: Yes; Address: 15701 S Tamiami Trl Ste 300, Fort Myers, FL 33908-4236; Nature of Business: Holding company for broker-dealer; Start Date: 04/2020; Position/Title: President & CEO; Apx 2 hours per month during non-trading hours; Duties: Manage overall company. 6. Oakwood Capital, Inc., Owner, President, CEO, CCO: Investment Related: Yes; Address: 600 Highway 169 S, Ste 1410, Minneapolis, MN 55426; Nature of Business: Registered Investment Adviser; Apprx 80 hours per month during trading hours; Duties: Manage overall operations and compliance of the company. 7. Business Consultant: Investment Related: No; Address: 15701 S Tamiami Trl Ste 300, Fort Myers, FL 33908-4236 ; Start Date: 07/2018; Nature of Business: Consulting Services; Position/Title/Relationship: Consultant; Duties: Provides business consulting services to 3rd-parties at standard industry average hourly rates; Apx 1-2 hours per week during trading and non-trading hours. 8. Oakwood Capital Accounting & Tax Advisors, LLC: Investment Related: No; Address: 15701 S Tamiami Trl Ste 300, Fort Myers, FL 33908-4236 ; Start Date: 11/2023; Nature of Business: Accounting & Tax Services; Position/Title/Relationship: CEO and Owner; Duties: Periodic oversight of the company President as he operates the day-to-day operations of the company; Apx 1-2 hours per week during trading and non-trading hours. 9. Oakwood Capital Partners, LLC: Investment Related: No; Address: 15701 S Tamiami Trl Ste 300, Fort Myers, FL 33908-4236 ; Start Date: 11/2023; Nature of Business: Management company for all "Oakwood Capital" branded companies; Position/Title/Relationship: President, CEO, and Owner; Duties: Oversight of management company; Apx 10 hours per month during trading and non-trading hours. 10. C2P Enterprises, LLC: Investment Related: Yes; Address: 30400 Detroit Road, Ste 201 Westlake, OH 44145; Nature of Business: Holding company for various financial services companies; Start Date: 04/2017; Position/Title/Relationship: Member; Duties: None, other than ownership of minority interest of units. 1 hour per quarter during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Douglas Stephan King'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: 1989
Experience
Current
April 30, 2020 - Present
OAKWOOD CAPITAL, INC.
Office #1: 12995 S. Cleveland Ave. Ste 160, Fort Myers, FL 33907Office #2: 600 Highway 169 South Suite 1410, St. Louis Park, MN 55426RIA
CRD#: 112399
Fort Myers, FL
Current
April 29, 2020 - Present
OAKWOOD CAPITAL SECURITIES, INC.
Office #1: 15701 S. Tamiami Trail Ste 300, Fort Myers, FL 33908Office #2: 600 Highway 169 South Suite 1410, St. Louis Park, MN 55426BD
CRD#: 21000
Fort Myers, FL
Past
April 30, 2020 - December 31, 2020
OAKWOOD CAPITAL, INC.
RIA
CRD#: 112399
Fort Myers, FL
Past
April 7, 2017 - June 17, 2020
PROSPERITY CAPITAL ADVISORS
RIA
CRD#: 156480
Wayzata, MN
Past
May 10, 2012 - December 4, 2018
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
WAYZATA, MN
Past
April 24, 2012 - September 17, 2017
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
WAYZATA, MN
Past
December 17, 2003 - January 28, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
MINNEAPOLIS, MN
Past
July 16, 1986 - January 28, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
MINNEAPOLIS, MN
Past
July 23, 1985 - June 12, 1986
FIRST JERSEY SECURITIES, INC.
BD
CRD#: 6621
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
Alabama(3/2/2023)
RR
Arizona(1/2/2021)
IAR
Arizona(3/11/2021)
RR
Arkansas(1/17/2023)
RR
California(1/2/2021)
IAR
California(1/9/2023)
RR
Colorado(1/2/2021)
IAR
Colorado(4/25/2023)
RR
Connecticut(8/31/2020)
IAR
Delaware(2/26/2025)
RR
Delaware(3/6/2025)
RR
District of Columbia(3/13/2024)
RR
Florida(4/29/2020)
IAR
Florida(5/13/2020)
RR
Georgia(1/2/2021)
RR
Hawaii(2/29/2024)
RR
Idaho(1/2/2021)
RR
Illinois(1/2/2021)
RR
Indiana(1/2/2021)
RR
Iowa(1/2/2021)
IAR
Iowa(2/22/2021)
RR
Kansas(1/2/2021)
RR
Kentucky(1/2/2021)
RR
Louisiana(1/19/2021)
RR
Maryland(1/2/2021)
IAR
Maryland(2/26/2025)
RR
Massachusetts(1/2/2021)
RR
Michigan(1/2/2021)
RR
Minnesota(4/29/2020)
IAR
Minnesota(4/30/2020)
RR
Mississippi(4/26/2023)
RR
Missouri(1/2/2021)
RR
Montana(1/2/2021)
IAR
Montana(2/22/2021)
RR
Nebraska(1/2/2021)
RR
Nevada(1/2/2021)
RR
New Jersey(1/2/2021)
RR
New Mexico(1/2/2021)
RR
New York(2/19/2023)
RR
North Carolina(1/2/2021)
IAR
North Carolina(2/26/2025)
RR
North Dakota(1/2/2021)
IAR
North Dakota(3/1/2021)
RR
Ohio(1/2/2021)
RR
Oklahoma(1/9/2024)
RR
Oregon(1/2/2021)
RR
Pennsylvania(11/13/2023)
IAR
Pennsylvania(2/26/2025)
RR
Puerto Rico(5/3/2023)
RR
South Carolina(1/2/2021)
IAR
South Carolina(1/9/2023)
RR
South Dakota(1/2/2021)
IAR
South Dakota(3/5/2021)
RR
Tennessee(1/26/2024)
RR
Texas(1/2/2021)
IAR
Texas(3/2/2023)
RR
Utah(2/13/2025)
RR
Virginia(4/29/2020)
IAR
Virginia(2/26/2025)
RR
Washington(1/2/2021)
RR
Wisconsin(1/2/2021)
IAR
Wisconsin(1/12/2021)
RR
Wyoming(1/2/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 8/11/1995
General Securities Sales Supervisor Examination (Options Module & General Module)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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
OAKWOOD CAPITAL, INC.
CRD#: 112399Fort Myers, FL 33907TRUST BUT VERIFY
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Contact information
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