WW
Wendy Waalen
OAKWOOD CAPITAL
Fargo, ND 58103
Some features on this profile are disabled
CRD#: 4178870
WW
Professional summary
Wendy Waalen, who also goes by Wendy J Blixt, Wendy Blixt, Wendy J Waalen, 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.
Wendy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Wendy has worked at 3 firms and has passed the Series 66, Series 99TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Wendy J Blixt | Wendy Blixt | Wendy J Waalen
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.
INVESTMENT ADVISER REPRESENTATIVE OF OAKWOOD CAPITAL, INC. ("OC")) 600 HIGHWAY 169 S, STE 1410, MINNEAPOLIS, MN 55426 SINCE 3/15/2011. (INVESTMENT-RELATED BUSINESS - OC IS A STATE 60 HOURS PER MONTH (BASED ON 160 WORKING HOURS PER MONTH)ARE SPENT ON OC BUSINESS DURING TRADING HOURS. PART-TIME HELP OF VALAN PRODUCTS, 345 5TH STREET, PO BOX 63, DAVENPORT, ND, 58021 SINCE 4/1/2018. APPROXIMATELY 5 HOURS PER MONTH ARE SPENT ON THIS NON-INVESTMENT-RELATED OUTSIDE BUSINESS DURING NON-TRADING HOURS. EBAY SALES; RECREATIONAL, NOT BUSINESS-RELATED; ONLINE FROM HOME SINCE 10/26/2022; 1-2 HOURS PER MONTH AFTER BUSINESS HOURS; NO INVESTMENT CUSTOMERS ARE INVOLVED Oakwood Capital Insurance Solutions; Agent; Investment-related; 3060 25th Street S Suite K Fargo, ND 58103 since 4/25/2023; Life, Fixed, and/or Index Insurance Products sold through FIG / Oakwood Insurance Solutions; 5 hours per month during and after trading hours
CRS (Client Relationship Summary) - RIA
Click below to view Wendy Waalen'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
August 15, 2011 - Present
OAKWOOD CAPITAL, INC.
Office #1: 3060 25th S Unit K, Fargo, ND 58103RIA
CRD#: 112399
Fargo, ND
Current
February 12, 2009 - Present
OAKWOOD CAPITAL SECURITIES, INC.
Office #1: 3060 25th Street South Unit K, Fargo, ND 58103BD
CRD#: 21000
Fargo, ND
Past
August 15, 2011 - December 31, 2020
OAKWOOD CAPITAL, INC.
RIA
CRD#: 112399
Fargo, ND
Past
July 1, 2008 - February 27, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
FARGO, ND
Past
June 28, 2007 - February 27, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
FARGO, ND
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(8/9/2017)
IAR
Arizona(4/22/2021)
RR
California(4/9/2018)
IAR
California(1/10/2023)
RR
Colorado(10/17/2017)
RR
Florida(4/9/2018)
IAR
Florida(5/28/2021)
RR
Georgia(7/17/2018)
RR
Idaho(5/15/2020)
IAR
Iowa(2/13/2025)
RR
Kansas(4/9/2018)
RR
Minnesota(3/9/2011)
IAR
Minnesota(12/9/2013)
RR
Missouri(8/1/2017)
RR
Montana(1/31/2017)
IAR
Montana(5/11/2019)
RR
Nevada(10/7/2024)
RR
North Dakota(2/12/2009)
IAR
North Dakota(8/15/2011)
RR
Oregon(10/8/2015)
RR
South Carolina(8/4/2025)
IAR
South Carolina(8/8/2025)
RR
South Dakota(10/30/2017)
IAR
South Dakota(12/31/2020)
RR
Washington(4/9/2018)
RR
Wisconsin(6/14/2023)
RR
Wyoming(4/9/2018)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral 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
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.
