Carol A. Goetsch

OAKWOOD CAPITAL

Maple Grove, MN

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CRD#: 1528051

Professional summary

Carol Ann Goetsch is a registered financial advisor currently at OAKWOOD CAPITAL, INC. located in Maple Grove, Minnesota and OAKWOOD CAPITAL SECURITIES, INC. located in St. Louis Park, Minnesota.

Carol is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Carol has worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carol Ann Goetsch'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

April 14, 2026 - Present

OAKWOOD CAPITAL, INC.

RIA

CRD#: 112399

Maple Grove, MN

Current

April 9, 2026 - Present

OAKWOOD CAPITAL SECURITIES, INC.

Office #1: 600 Highway 169 South Suite 1410, St. Louis Park, MN 55426

CRD#: 21000

St. Louis Park, MN

Past

June 28, 2024 - April 27, 2026

TLG ADVISORS, INC.

RIA

CRD#: 111052

Towson, MD

Past

June 27, 2024 - April 27, 2026

THE LEADERS GROUP, INC.

CRD#: 37157

SUMMIT, NJ

Past

April 16, 2018 - January 25, 2024

RBC CAPITAL MARKETS, LLC

RIA

CRD#: 31194

MINNEAPOLIS, MN

Past

April 16, 2018 - January 25, 2024

RBC CAPITAL MARKETS, LLC

CRD#: 31194

MINNEAPOLIS, MN

Past

May 1, 2017 - October 6, 2017

THE LEADERS GROUP, INC.

CRD#: 37157

SUMMIT, NJ

Past

October 4, 2010 - January 19, 2017

U.S. BANCORP INVESTMENTS, INC.

RIA

CRD#: 17868

MINNEAPOLIS, MN

Past

October 4, 2010 - January 19, 2017

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

MINNEAPOLIS, MN

Past

June 5, 2007 - April 6, 2010

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

MINNEAPOLIS, MN

Past

November 9, 2006 - April 6, 2010

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

April 25, 2006 - August 23, 2006

PIPER SANDLER & CO.

CRD#: 665

MINNEAPOLIS, MN

Past

July 1, 2003 - November 30, 2005

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

October 31, 2000 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

September 24, 1999 - December 4, 2000

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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".

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)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

IAR

Maryland
(4/14/2026)

IAR

Minnesota
(4/15/2026)

Minnesota
(4/28/2026)

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

State Security Law Exam

IAR

Series 66

Date: 12/27/2006

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/30/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/24/2006

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/22/1999

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/2/2010

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

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)

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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

SEC notice filing (17 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

OAKWOOD CAPITAL, INC. PART 2A (1/31/2025)

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.

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Advisor Monitoring

Firm Stability Insights

Carol A. Goetsch

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carol Ann Goetsch's CRS (Customer Relationship Summary).

Certified licenses

Experience

OAKWOOD CAPITAL, INC.

OAKWOOD CAPITAL SECURITIES, INC.

TLG ADVISORS, INC.

THE LEADERS GROUP, INC.

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

THE LEADERS GROUP, INC.

U.S. BANCORP INVESTMENTS, INC.

U.S. BANCORP INVESTMENTS, INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

PIPER SANDLER & CO.

WELLS FARGO CLEARING SERVICES, LLC

PRUDENTIAL EQUITY GROUP, LLC

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

OAKWOOD CAPITAL, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 12/27/2006

Series 63

Date: 12/30/1999

SIE

Date: 10/1/2018

Series 7

Date: 4/24/2006

Series 6

Date: 9/22/1999

Series 24

Date: 2/2/2010

FINRA

Current Firm

OAKWOOD CAPITAL, INC.

Contact information

SEC notice filing (17 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

OAKWOOD CAPITAL, INC.

TRUST BUT VERIFY

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