Larry O. Bumgardner
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Larry Owen Bumgardner was a registered financial professional .
Larry is a previously registered financial professional and started their career in finance in 1973. Larry had worked at 7 firms and has passed the Series 65, Series 63, Series 99TO, Series 7TO, Series 82TO, SIE, Series 1, Series 14, Series 51, Series 4, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 3, 2013 - November 16, 2021
OAKWOOD CAPITAL, INC.
January 14, 2013 - December 31, 2020
OAKWOOD CAPITAL, INC.
February 16, 1988 - December 31, 2022
OAKWOOD CAPITAL SECURITIES, INC.
October 28, 1987 - March 17, 1988
AMERICAN INVESTORS GROUP, INC.
June 3, 1977 - November 6, 1987
MARQUETTE FINANCIAL GROUP, INC.
August 23, 1973 - July 21, 1977
AMERICAN EXPRESS FINANCIAL CORPORATION
August 23, 1973 - July 21, 1977
AMERIPRISE FINANCIAL SERVICES, LLC
August 23, 1973 - July 21, 1977
IDS LIFE INSURANCE COMPANY
Primary Firm SEC Registration
OAKWOOD CAPITAL, INC.
CRD#: 112399 / SEC#: 801-120259
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsSeries 1
Date: 8/16/1973
Registered Representative ExaminationCurrent Firm
OAKWOOD CAPITAL, INC.
CRD#: 112399 / SEC#: 801-120259
Contact information
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.
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