Steven M. Fromm

OAKWOOD CAPITAL

Saint Augustine, FL

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CRD#: 5793088

Professional summary

Steven Michael Fromm, who also goes by Steve Michael Fromm, Steven Michael Fromm, Steven Fromm, is a registered financial advisor currently at OAKWOOD CAPITAL, INC. located in Saint Augustine, Florida and OAKWOOD CAPITAL SECURITIES, INC. located in Fort Myers, Florida.

Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Steven has worked at 9 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Steve Michael Fromm | Steven Michael Fromm | Steven Fromm

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Michael Fromm's CRS (Customer Relationship Summary).

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®

None

Experience

Current

May 13, 2026 - Present

OAKWOOD CAPITAL, INC.

RIA

CRD#: 112399

Saint Augustine, FL

Current

March 20, 2026 - Present

OAKWOOD CAPITAL SECURITIES, INC.

Office #1: 15701 S Tamiami Trail Suite 300, Fort Myers, FL 33908

CRD#: 21000

FORT MYERS, FL

Past

September 16, 2024 - March 6, 2026

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

September 16, 2024 - March 6, 2026

LPL ENTERPRISE, LLC

CRD#: 8733

ST AUGUSTINE, FL

Past

October 19, 2022 - June 27, 2024

FIRST COMMAND BROKERAGE SERVICES, INC.

CRD#: 3641

FORT WORTH, TX

Past

May 5, 2022 - October 5, 2022

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

JACKSONVILLE, FL

Past

February 5, 2016 - April 8, 2021

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

ST. PETERSBURG, FL

Past

April 12, 2011 - February 19, 2016

VANGUARD MARKETING CORPORATION

CRD#: 7452

SCOTTSDALE, AZ

Past

July 13, 2010 - January 26, 2011

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

PHOENIX, AZ

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".

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)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

Florida
(3/20/2026)

IAR

Florida
(5/13/2026)

Washington
(3/25/2026)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/10/2025

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/23/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/11/2011

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/12/2010

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/2/2016

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

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)

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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

SEC notice filing (17 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

OAKWOOD CAPITAL, INC. PART 2A (1/31/2025)

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.

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Advisor Monitoring

Firm Stability Insights

Steven M. Fromm

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Michael Fromm's CRS (Customer Relationship Summary).

Certified licenses

Experience

OAKWOOD CAPITAL SECURITIES, INC.

LPL FINANCIAL LLC

LPL ENTERPRISE, LLC

FIRST COMMAND BROKERAGE SERVICES, INC.

DEUTSCHE BANK SECURITIES INC.

RAYMOND JAMES & ASSOCIATES, INC.

VANGUARD MARKETING CORPORATION

FORESTERS FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

OAKWOOD CAPITAL, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/10/2025

Series 63

Date: 6/23/2010

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 4/11/2011

Series 6

Date: 7/12/2010

Series 24

Date: 6/2/2016

FINRA

Current Firm

OAKWOOD CAPITAL, INC.

Contact information

SEC notice filing (17 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

OAKWOOD CAPITAL, INC.

TRUST BUT VERIFY

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