JB
Jon D. Breimhorst
OAKWOOD CAPITAL
Prescott, WI 54021
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CRD#: 5463148
JB
Professional summary
Jon Daniel Breimhorst, CFP®, who also goes by Jon Breimhorst, is a registered financial advisor currently at OAKWOOD CAPITAL, INC. located in Prescott, Wisconsin and OAKWOOD CAPITAL SECURITIES, INC. located in Prescott, Wisconsin.
Jon is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Jon has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jon Breimhorst
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.
CRS (Client Relationship Summary) - RIA
Click below to view Jon Daniel Breimhorst'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®
Experience
Current
August 9, 2018 - Present
OAKWOOD CAPITAL, INC.
Office #1: 1015 Campbell St North Suite 100, Prescott, WI 54021RIA
CRD#: 112399
Prescott, WI
Current
June 4, 2018 - Present
OAKWOOD CAPITAL SECURITIES, INC.
Office #1: 1015 Campbell St N Suite 100, Prescott, WI 54021BD
CRD#: 21000
Prescott, WI
Past
July 26, 2018 - December 31, 2020
OAKWOOD CAPITAL, INC.
RIA
CRD#: 112399
Prescott, WI
Past
March 20, 2015 - June 12, 2018
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
BLOOMINGTON, MN
Past
March 20, 2015 - June 12, 2018
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
BLOOMINGTON, MN
Past
January 7, 2014 - February 24, 2015
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC
RIA
CRD#: 116407
BURNSVILLE, MN
Past
January 9, 2013 - February 24, 2015
WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC
BD
CRD#: 130139
PLYMOUTH, MN
Past
December 6, 2012 - March 4, 2015
LPL FINANCIAL LLC
BD
CRD#: 6413
BURNSVILLE, MN
Past
February 7, 2012 - November 14, 2012
QUESTAR CAPITAL CORPORATION
BD
CRD#: 43100
ST LOUIS PARK, MN
Past
August 4, 2011 - February 14, 2012
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
ST. LOUIS PARK, MN
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(6/22/2018)
RR
California(6/22/2018)
RR
Florida(6/22/2018)
RR
Georgia(6/22/2018)
RR
Illinois(1/11/2024)
RR
Indiana(5/18/2021)
RR
Minnesota(6/4/2018)
IAR
Minnesota(12/31/2020)
RR
Missouri(6/21/2022)
RR
Tennessee(7/24/2025)
RR
Texas(6/22/2018)
RR
Wisconsin(6/4/2018)
IAR
Wisconsin(8/9/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General 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)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.
Company Information
OAKWOOD CAPITAL, INC.
CRD#: 112399Prescott, WI 54021TRUST BUT VERIFY
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