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Eric Michael Griffin

OAKWOOD CAPITAL SECURITIES
FORT MYERS, FL
·CRD# 5095265·21 years registered

Professional Summary

Eric Michael Griffin is a registered financial advisor currently at OAKWOOD CAPITAL SECURITIES, INC. located in Fort Myers, Florida. Eric is registered as a RR (Registered Representative) and started their career in finance in 2006. Eric has worked at 3 firms and has passed the Series 63, Series 65, SIE and Series 6 exams.

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

More Resources

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Videos & Posts

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

21 years registered in the securities industry

Current & Past Employments

Current

OAKWOOD CAPITAL SECURITIES, INC.Current·CRD# 21000
BD
15701 S Tamiami Trail Suite 300, Fort Myers, FL 33908
November 3, 2026 - Present

Past

THE LEADERS GROUP, INC.Past·CRD# 37157
BD
Summit, NJ
November 7, 2017 - November 4, 2026
HORIZON INVESTMENTS LLCPast·CRD# 109552
RIA
Charlotte, NC
February 2, 2006 - November 19, 2008

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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 (Florida district office)

Contact Information

Main Address

15701 S Tamiami Trail Suite 300, Fort Myers, FL 33908

Mailing Address

15701 S Tamiami Trail Suite 300, Fort Myers, FL 33908

Phone Number

(239) 350-0245

Established

Florida since 05/01/2026

Firm Type

Corporation

Fiscal Year End

March

Firm Size

Small

FINRA licenses (50 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
OAKWOOD CAPITAL SECURITIES, LLCOWNER—
GALLIGAN, PETER BFINOP1873304
KING, BRANDON DOUGLASSENIOR VICE PRESIDENT6371003
KING, DOUGLAS STEPHANPRESIDENT, CHIEF COMPLIANCE OFFICER1375683
KING, JASON THOMASSENIOR VICE PRESIDENT6343030

Disclosures

Regulatory Event

1

Bond

1

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
North Carolina
(11/3/2026)

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Dec 2017About the Series 63 exam

Series 65 — Uniform Investment Adviser Law Examination

Passed Nov 2005About the Series 65 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Nov 2017About the Series 6 exam
FINRA
SRO Registrations

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CRS (Client Relationship Summary) - BD

Click below to view Eric Michael Griffin's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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