TN
Troy V. Narum
OAKWOOD CAPITAL
Fargo, ND 58103
Some features on this profile are disabled
CRD#: 2579585
TN
Professional summary
Troy Von Narum, who also goes by Troy V Narum, is a registered financial advisor currently at OAKWOOD CAPITAL, INC. located in Fargo, North Dakota and OAKWOOD CAPITAL SECURITIES, INC. located in Fargo, North Dakota.
Troy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Troy has worked at 4 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Troy V Narum
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.
FINANCIAL ADVISOR NORTH COUNTRY FINANCIAL ADVISORS 1330 PAGE DRIVE, SUITE 203B, FARGO, ND 58103 SINCE 12/2013. APPROXIMATELY 160 HOURS PER MONTH ARE SPENT ON THIS INVESTMENT RELATED OUTSIDE BUSINESS DURING TRADING HOURS. INVESTMENT ADVISOR REPRESENTATIVE OF OAKWOOD CAPITAL, INC. (OC) 600 HIGHWAY 169 S, SUITE 1410, MINNEAPOLIS, MN 55426. (INVESTMENT RELATED BUSINESS - OC IS AN SEC REGISTERED INVESTMENT ADVISOR) SINCE 5/9/2016. APPROXIMATELY TEN HOURS PER MONTH ARE SPENT ON THIS OUTSIDE BUSINESS DURING TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Troy Von Narum'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
May 9, 2016 - Present
OAKWOOD CAPITAL, INC.
Office #1: 1330 Page Dr Suite 203b, Fargo, ND 58103RIA
CRD#: 112399
Fargo, ND
Current
January 8, 2009 - Present
OAKWOOD CAPITAL SECURITIES, INC.
Office #1: 1330 Page Drive Suite 203b, Fargo, ND 58103BD
CRD#: 21000
Fargo, ND
Past
May 9, 2016 - December 31, 2020
OAKWOOD CAPITAL, INC.
RIA
CRD#: 112399
Fargo, ND
Past
April 19, 2010 - September 10, 2014
OAKWOOD CAPITAL, INC.
RIA
CRD#: 112399
MINNEAPOLIS, MN
Past
February 8, 2001 - January 23, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
FARGO, ND
Past
October 27, 2000 - January 23, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
FARGO, ND
Past
June 30, 1995 - November 2, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
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(1/8/2009)
RR
Florida(11/16/2016)
RR
Iowa(11/7/2023)
RR
Minnesota(1/8/2009)
IAR
Minnesota(5/16/2016)
RR
Missouri(7/11/2014)
RR
Nevada(9/11/2023)
RR
North Dakota(1/8/2009)
IAR
North Dakota(5/9/2016)
Exams
State Security Law Exam
State Security Law 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
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
