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DH

David J. Henry

OAKWOOD CAPITAL SECURITIES
FORT MYERS, FL 33908
Some features on this profile are disabled
CRD#: 6371886
DH
David James HenryOAKWOOD CAPITAL SECURITIES

Professional summary

David James Henry, who also goes by Dave Henry, is a registered financial professional currently at OAKWOOD CAPITAL SECURITIES, INC. located in Fort Myers, Florida.

David is registered as a RR (Registered Representative) and started their career in finance in 2018. David has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.

Aliases

Dave Henry

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) - BD

Click below to view David James Henry'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

November 12, 2025 - Present

OAKWOOD CAPITAL SECURITIES, INC.

Office #1: 15701 S Tamiami Trail Suite 300, Fort Myers, FL 33908
BD
CRD#: 21000
FORT MYERS, FL
Past

December 4, 2022 - December 31, 2023

OAKWOOD CAPITAL SECURITIES, INC.

BD
CRD#: 21000
FORT MYERS, FL
Past

March 20, 2020 - December 16, 2022

AMERICAN GLOBAL WEALTH MANAGEMENT, INC.

BD
CRD#: 7388
Cornelius, NC
Past

April 25, 2018 - September 11, 2019

CHESTERBROOK CAPITAL

BD
CRD#: 104395
BERWYN, PA

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 them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Delaware
(6/22/2026)
RR
Florida
(6/23/2026)
RR
Illinois
(6/22/2026)
RR
Indiana
(11/12/2025)
RR
Iowa
(6/22/2026)
RR
Kansas
(6/22/2026)
RR
Massachusetts
(6/23/2026)
RR
Missouri
(11/12/2025)
RR
New York
(6/22/2026)
RR
North Carolina
(11/12/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 4/11/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/25/2018
General Securities Representative Examination
SRO Registrations
RR
FINRA

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 (Kansas City district office)
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Contact information

Main Address
600 Highway 169 South Suite 1410, St. Louis Park, MN 55426
Mailing Address
600 Highway 169 South Suite 1410, St. Louis Park, MN 55426
Phone number
(952) 935-4601
Established
Minnesota since 05/11/1987
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (49 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
OAKWOOD CAPITAL SECURITIES, LLCOWNER
BASKETT, ERINFINOP, PFO, POO4538604
KING, BRANDON DOUGLASVICE PRESIDENT6371003
KING, DOUGLAS STEPHANPRESIDENT, CHIEF COMPLIANCE OFFICER1375683
KING, JASON THOMASVICE PRESIDENT6343030

Disclosures

Regulatory Event1
Bond1

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 SECURITIES, INC.

CRD#: 21000Fort Myers, FL 33908

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