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DW

Daniel C. Wohlgemuth

OAKWOOD CAPITAL SECURITIES
Jacksonville, FL 32225
Some features on this profile are disabled
CRD#: 2788404
DW

Professional summary

Daniel Christopher Wohlgemuth, who also goes by Dan Wohlgemuth, is a registered financial professional currently at OAKWOOD CAPITAL SECURITIES, INC. located in Jacksonville, Florida.

Daniel is registered as a RR (Registered Representative) and started their career in finance in 1997. Daniel has worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Dan Wohlgemuth

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) - BD

Click below to view Daniel Christopher Wohlgemuth'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

December 19, 2023 - Present

OAKWOOD CAPITAL SECURITIES, INC.

Office #1: 13475 Atlantic Blvd Unit 8, Jacksonville, FL 32225
BD
CRD#: 21000
Jacksonville, FL
Past

July 8, 2008 - October 17, 2023

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
JACKSONVILLE, FL
Past

March 29, 2004 - May 16, 2005

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
JACKSONVILLE, FL
Past

March 16, 2004 - May 16, 2005

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

January 12, 2001 - September 9, 2003

EQUITY SERVICES, INC.

RIA
CRD#: 265
JACKSONVILLE, FL
Past

January 12, 2001 - September 9, 2003

EQUITY SERVICES, INC.

BD
CRD#: 265
MONTPELIER, VT
Past

November 30, 1999 - January 8, 2001

ONEAMERICA SECURITIES, INC.

BD
CRD#: 4173
INDIANAPOLIS, IN
Past

November 30, 1999 - January 8, 2001

AMERICAN UNITED LIFE INSURANCE COMPANY

BD
CRD#: 1075
INDIANAPOLIS, IN
Past

November 10, 1998 - November 10, 1999

COORDINATED CAPITAL SECURITIES, INC.

BD
CRD#: 14762
FORT ATKINSON, WI
Past

October 8, 1998 - October 30, 1998

COORDINATED CAPITAL SECURITIES, INC.

BD
CRD#: 14762
Past

April 29, 1997 - October 7, 1998

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

BD
CRD#: 2580
FORT WAYNE, IN
Past

April 29, 1997 - October 7, 1998

OSAIC FA, INC.

BD
CRD#: 3978
FORT WAYNE, IN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Florida
(12/19/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 6/23/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/7/2008
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 4/28/1997
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/10/2008
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 26
Date: 6/23/1999
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

OC
OAKWOOD CAPITAL SECURITIES, INC.
GARDNER FINANCIAL SERVICES, INC. | OAKWOOD CAPITAL SECURITIES, INC.

CRD#: 21000 / SEC#: , 8-38631

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
600 Highway 169 South Suite 1410, St. Louis Park, MN 55426
Mailing Address
600 Highway 169 South Suite 1410, St. Louis Park, MN 55426
Phone number
(952) 935-4601
Established
Minnesota since 05/11/1987
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
OAKWOOD CAPITAL SECURITIES, LLCOWNER
BASKETT, ERINFINOP, PFO, POO4538604
KING, BRANDON DOUGLASVICE PRESIDENT6371003
KING, DOUGLAS STEPHANPRESIDENT, CHIEF COMPLIANCE OFFICER1375683
KING, JASON THOMASVICE PRESIDENT6343030

Disclosures

Regulatory Event1
Bond1

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.

Company Information

OAKWOOD CAPITAL SECURITIES, INC.

CRD#: 21000Jacksonville, FL 32225

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