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CH

Catherine A. Hille

OAKWOOD CAPITAL SECURITIES
St. Louis Park, MN 55426
Some features on this profile are disabled
CRD#: 3232599
CH

Professional summary

Catherine Anne Hille, who also goes by Catherine Anne Courtney, Catherine Anne Shelton, Catherine A Terrasa, is a registered financial professional currently at OAKWOOD CAPITAL SECURITIES, INC. located in St. Louis Park, Minnesota.

Catherine is registered as a RR (Registered Representative) and started their career in finance in 2001. Catherine has worked at 7 firms and has passed the Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Catherine Anne Courtney | Catherine Anne Shelton | Catherine A Terrasa

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 Catherine Anne Hille'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 4, 2022 - Present

OAKWOOD CAPITAL SECURITIES, INC.

Office #1: 600 Highway 169 South Suite 1410, St. Louis Park, MN 55426
BD
CRD#: 21000
St. Louis Park, MN
Past

February 23, 2021 - December 20, 2022

AMERICAN GLOBAL WEALTH MANAGEMENT, INC.

BD
CRD#: 7388
Cornelius, NC
Past

May 23, 2014 - January 27, 2021

WADDELL & REED

BD
CRD#: 866
OVERLAND PARK, KS
Past

February 14, 2012 - April 23, 2014

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
OVERLAND PARK, KS
Past

June 14, 2004 - July 9, 2007

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
OVERLAND PARK, KS
Past

June 14, 2004 - September 8, 2008

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
OVERLAND PARK, KS
Past

February 20, 2001 - June 23, 2004

SECURIAN FINANCIAL SERVICES, INC.

BD
CRD#: 15296
ST. PAUL, MN

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
Arizona
(5/6/2024)
RR
Arkansas
(1/17/2023)
RR
California
(5/5/2023)
RR
Colorado
(12/4/2022)
RR
Florida
(12/4/2022)
RR
Georgia
(10/11/2023)
RR
Illinois
(10/4/2023)
RR
Iowa
(7/15/2024)
RR
Kansas
(5/3/2023)
RR
Kentucky
(2/15/2024)
RR
Massachusetts
(5/3/2023)
RR
Michigan
(1/5/2024)
RR
Missouri
(5/3/2023)
RR
Montana
(11/13/2025)
RR
Nebraska
(12/6/2023)
RR
Nevada
(7/19/2024)
RR
New Jersey
(2/25/2025)
RR
New Mexico
(2/27/2025)
RR
New York
(11/16/2023)
RR
North Carolina
(5/3/2023)
RR
Ohio
(2/1/2024)
RR
Oklahoma
(9/5/2024)
RR
Oregon
(2/28/2024)
RR
Pennsylvania
(11/13/2023)
RR
South Carolina
(6/19/2025)
RR
South Dakota
(6/3/2025)
RR
Tennessee
(4/3/2024)
RR
Texas
(8/10/2023)
RR
Washington
(11/20/2023)
RR
Wisconsin
(5/10/2024)
RR
Wyoming
(11/13/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 2/27/2012
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 6
Date: 2/13/2012
Investment Company Products/Variable Contracts Representative 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#: 21000St. Louis Park, MN 55426

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