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Adrian Vanderwoude

Some features on this profile are disabled
CRD#: 5256927
AV

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.

Adrian Vanderwoude SR., who also goes by Adrian W Vanderwoude, Adrian William Vanderwoude, Adrian Vanderwoude Sr., was a registered financial professional .

Adrian is a previously registered financial professional and started their career in finance in 2007. Adrian had worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Adrian W Vanderwoude | Adrian William Vanderwoude | Adrian Vanderwoude Sr.

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.
FIXED INSURANCE SALES, COMPENSATION IN THE FORM OF COMMISSIONS. FIXED PRODUCTS ARE SOLD AS NEEDED, BUT ARE NOT A NORMAL BUSINESS ACTIVITY. 0-10 HOURS PER WEEK, DURING TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 10, 2020 - May 5, 2023

ONEASCENT WEALTH MANAGEMENT

RIA
CRD#: 308057
BIRMINGHAM, AL
Past

December 22, 2017 - July 16, 2020

ONEASCENT FINANCIAL SERVICES LLC

RIA
CRD#: 284549
Birmingham, AL
Past

July 1, 2009 - September 8, 2011

SECURITIES AMERICA, INC.

BD
CRD#: 10205
BIRMINGHAM, AL
Past

April 29, 2009 - December 11, 2017

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
BIRMINGHAM, AL
Past

April 29, 2009 - December 11, 2017

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
BIRMINGHAM, AL
Past

February 27, 2007 - May 13, 2009

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
BIRMINGHAM, AL
Past

February 6, 2007 - May 13, 2009

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
BIRMINGHAM, AL

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".
OW
ONEASCENT WEALTH MANAGEMENT
ONEASCENT WEALTH MANAGEMENT | SOVEREIGN FAMILY OFFICE | ONEASCENT WEALTH MANAGEMENT LLC

CRD#: 308057 / SEC#: 801-118682

RIA
Registered Investment Advisory firm - (5/11/2020 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/26/2007
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/11/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/5/2007
General Securities Representative Examination

Current Firm

OW
ONEASCENT WEALTH MANAGEMENT
ONEASCENT WEALTH MANAGEMENT | SOVEREIGN FAMILY OFFICE | ONEASCENT WEALTH MANAGEMENT LLC

CRD#: 308057 / SEC#: 801-118682

RIA
Registered Investment Advisory firm - (5/11/2020 Approved)
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Contact information

Main Address
23 Inverness Center Parkway, Birmingham, AL 35242
Mailing Address
Phone number
(205) 313-9142
Established
Firm type
Fiscal year end
# of Employees
24

SEC notice filing (16 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

OAWM ADV PART 2A (3/20/2025)

Regulatory assets under management

Total Number of Accounts2,138
AUM (Assets Under Management)$ 431,684,302

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

ONEASCENT WEALTH MANAGEMENT

CRD#: 308057

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