MM
Michael W. Mullins
OAKWOOD CAPITAL
Bermuda Dunes, CA
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CRD#: 1522269
MM
Professional summary
Michael William Mullins, who also goes by Michael W Mullins, is a registered financial advisor currently at OAKWOOD CAPITAL, INC. located in Bermuda Dunes, California.
Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Michael has worked at 9 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Michael W Mullins
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.
Oakwood Capital, Inc., Investment Adviser Representative and Financial Planning since 09/27/2019; Investment Related; 20 hours per week; 600 Highway 169 S, Ste 1410, Minneapolis, MN 55426; offers investment and financial planning advice for a fee to individuals and small businesses. Oakwood Capital Advisors, LLC; Wealth Management and Financial Planning since 01/2022; Investment Related; 20 hours per week; 600 Highway 169 S, Ste 1410, Minneapolis, MN 55426; offers investment and financial planning advice for a fee to individuals and small businesses. Oakwood Capital Insurance Solutions, LLC; Non-Investment Related since 01/2022; 5 hours per week; 600 Highway 169 S, Ste 1410, Minneapolis, MN 55426; offers Fixed Insurance and Annuities to individual clients. Laundry Love; Volunteer; Non-investment related since 10/1/2023 at 42320 Baracoa Dr. #12, Bermuda, CA 92203; 8 hours per month after business hours; Charity organization
CRS (Client Relationship Summary) - RIA
Click below to view Michael William Mullins'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
September 27, 2019 - Present
OAKWOOD CAPITAL, INC.
RIA
CRD#: 112399
Bermuda Dunes, CA
Past
September 27, 2019 - December 31, 2020
OAKWOOD CAPITAL, INC.
RIA
CRD#: 112399
MINNEAPOLIS, MN
Past
September 25, 2019 - December 31, 2023
OAKWOOD CAPITAL SECURITIES, INC.
BD
CRD#: 21000
Bermuda Dunes, CA
Past
June 30, 2015 - September 16, 2019
THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.
RIA
CRD#: 42941
GOLDEN VALLEY, MN
Past
June 30, 2015 - September 16, 2019
THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.
BD
CRD#: 42941
GOLDEN VALLEY, MN
Past
April 1, 2011 - July 30, 2015
JHS CAPITAL ADVISORS, LLC
RIA
CRD#: 112097
MINNETONKA, MN
Past
April 1, 2011 - July 30, 2015
JHS CAPITAL ADVISORS, LLC
BD
CRD#: 112097
MINNETONKA, MN
Past
June 20, 2008 - April 7, 2011
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
MINNEAPOLIS, MN
Past
June 20, 2008 - April 7, 2011
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
MINNEAPOLIS, MN
Past
September 24, 2004 - June 24, 2008
WELLS FARGO INVESTMENTS, LLC
RIA
CRD#: 10582
BLOOMINGTON, MN
Past
July 16, 2004 - June 24, 2008
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
BLOOMINGTON, MN
Past
September 12, 2000 - July 21, 2004
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
January 14, 1994 - October 7, 2000
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
March 2, 1987 - January 19, 1994
DAIN RAUSCHER INCORPORATED
BD
CRD#: 7600
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.Highlighted states indicate IAR registrations
IAR
Arizona(11/21/2024)
IAR
California(3/22/2022)
IAR
Minnesota(9/27/2019)
IAR
South Carolina(4/24/2023)
IAR
Texas(3/6/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
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.
