RS
Richard K. Sunderland
OAKWOOD CAPITAL
Golden Valley, MN
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CRD#: 2492179
RS
Professional summary
Richard Kenneth Sunderland is a registered financial advisor currently at OAKWOOD CAPITAL, INC. located in Golden Valley, Minnesota and OAKWOOD CAPITAL SECURITIES, INC. located in Golden Valley, Minnesota.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Richard has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 22 and Series 6 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.
PRESIDENT AND SOLE STOCKHOLDER OF ADVISORS INCOME SOLUTIONS, INC.(SINCE JANUARY 13 2017)FORMERLY KNOWN AS ADVISORS, INC. 2120 PENNSYLVANIA AVENUE N, GOLDEN VALLEY, MN 55427 SINCE JULY, 1997. FIXED INSURANCE AND ANNUITY SALES THROUGH FMO'S. APPROXIMATELY 50 HOURS A MONTH ARE SPENT ON THIS NON-INVESTMENT RELATED OUTSIDE BUSINESS WITH HOURS REDUCED IN AUGUSUT AND SEPTEMBER. APPROXIMATELY 35% OF THOSE HOURS ARE DURING TRADING HOURS PER MONTH. GENERAL PARTNER OF DELRICK ENTERPRISES PARTNERSHIP, 2120 PENNSYLVANIA AVENUE N, GOLDEN VALLEY, MN 55427 SINCE AUGUST, 1966. APPROXIMATELY 210 HOURS ARE SPENT IN AUGUST WITH 84 OF THOSE HOURS BEING DONE DURING TRADING HOURS. APPROXIMATELY 90 HOURS ARE SPENT IN SEPTEMBER WITH 36 OF THOSE HOURS DURING TRADING HOURS EACH YEAR ON THIS NON-INVESTMENT RELATED OUTSIDE BUSINESS. INVESTMENT ADVISOR REPRESENTATIVE OF OAKWOOD CAPITAL, INC. (OC) 600 HIGHWAY 169 S, STE 1410, MINNEAPOLIS, MN 55426 SINCE MARCH 2013. OC IS AN SEC REGISTERED INVESTMENT ADVISER. APPROXIMATELY 30 HOURS PER MONTH ARE SPENT ON THIS INVESTMENT RELATED OUTSIDE BUSINESS WITH 10 OF THOSE HOURS BEING DONE DURING TRADING HOURS. ELECTION JUDGE FOR CITY OF GOLDEN VALLEY, 7800 GOLDEN VALLEY ROAD, GOLDEN VALLEY, MN 55427 SINCE JULY 11 2016. APPROXIMATELY 30 HOURS WILL BE SPENT IN JULY, AUGUST AND NOVEMBER WITH 18 OF THOSE HOURS DONE DURING TRADING HOURS FOR THIS NON-INVESTMENT-RELATED OUTSIDE BUSINESS.
CRS (Client Relationship Summary) - RIA
Click below to view Richard Kenneth Sunderland'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
March 20, 2013 - Present
OAKWOOD CAPITAL, INC.
RIA
CRD#: 112399
Golden Valley, MN
Current
March 20, 2013 - Present
OAKWOOD CAPITAL SECURITIES, INC.
BD
CRD#: 21000
Golden Valley, MN
Past
March 20, 2013 - December 31, 2020
OAKWOOD CAPITAL, INC.
RIA
CRD#: 112399
ST. LOUIS PARK, MN
Past
October 20, 2011 - June 25, 2012
CL WEALTH MANAGEMENT LLC
RIA
CRD#: 134922
SCHAUMBURG, IL
Past
October 19, 2011 - June 25, 2012
ALLIED BEACON PARTNERS, INC.
BD
CRD#: 46227
GOLDEN VALLEY, MN
Past
April 9, 2008 - September 30, 2011
WORKMAN SECURITIES CORPORATION
RIA
CRD#: 31898
GOLDEN VALLEY, MN
Past
December 13, 2004 - September 30, 2011
WORKMAN SECURITIES CORPORATION
BD
CRD#: 31898
GOLDEN VALLEY, MN
Past
October 31, 2003 - January 10, 2005
AMERITAS INVESTMENT COMPANY, LLC
BD
CRD#: 14869
LINCOLN, NE
Past
July 22, 1997 - October 31, 2003
THE ADVISORS GROUP, INC.
BD
CRD#: 14035
BETHESDA, MD
Past
June 2, 1994 - May 8, 1997
NYLIFE SECURITIES LLC
BD
CRD#: 5167
NEW YORK, NY
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(12/9/2015)
IAR
Iowa(3/20/2013)
RR
Maryland(4/8/2013)
RR
Minnesota(4/5/2013)
IAR
Minnesota(1/3/2014)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
