BK
Brandon D. King
OAKWOOD CAPITAL
St. Louis Park, MN 55426
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CRD#: 6371003
BK
Professional summary
Brandon Douglas King is a registered financial advisor currently at OAKWOOD CAPITAL, INC. located in St. Louis Park, Minnesota and OAKWOOD CAPITAL SECURITIES, INC. located in St. Louis Park, Minnesota.
Brandon is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Brandon has worked at 4 firms and has passed the Series 65, Series 63, Series 99TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
09/2020 - Present - Oakwood Capital Securities, Inc.; Financial Consultant; 600 Highway 169 S, Ste 1410, St. Louis Park, MN; Investment Related; 10 hours/week during business hours 03/2021 - Present - Oakwood Capital, Inc.; Financial Advisor; 600 Highway 169 S, Ste 1410, St. Louis Park, MN; Investment Related; 10 hours/week during business hours 03/2021 - Present - Oakwood Capital Advisors, LLC; 600 Highway 169 S, Ste 1410, Minneapolis, MN; Investment Related; 10 hours/week during business hours 03/2021 - Present - Oakwood Capital Insurance Solutions, LLC; Fixed Insurance Agent, 600 Highway 169 S, Ste 1410, St. Louis Park, MN; not Investment Related; 10 hours/week during business hours 11/1/2023 - Present - Oakwood Capital Accounting & Tax Advisors, LLC; Vice President; 15701 S Tamiami Trl Ste 300, Fort Myers, FL 33908-4236 ; Non-investment related; 10 hours per month during business hours
CRS (Client Relationship Summary) - RIA
Click below to view Brandon Douglas King'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
March 11, 2021 - Present
OAKWOOD CAPITAL, INC.
Office #1: 600 Highway 169 South Suite 1410, St. Louis Park, MN 55426RIA
CRD#: 112399
St. Louis Park, MN
Current
August 26, 2020 - Present
OAKWOOD CAPITAL SECURITIES, INC.
Office #1: 600 Highway 169 South Suite 1410, St. Louis Park, MN 55426BD
CRD#: 21000
St. Louis Park, MN
Past
September 27, 2016 - August 26, 2020
ALLIANZ LIFE FINANCIAL SERVICES, LLC
BD
CRD#: 612
MINNEAPOLIS, MN
Past
March 30, 2015 - September 15, 2016
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
SAINT CLOUD, 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
IAR
Colorado(4/26/2023)
RR
Florida(8/26/2020)
IAR
Iowa(1/9/2023)
RR
Minnesota(8/26/2020)
IAR
Minnesota(3/11/2021)
IAR
Wisconsin(10/8/2021)
Exams
State Security Law Exam
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
