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LB

Luke A. Blackmon

Some features on this profile are disabled
CRD#: 7504404
LB

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.

Luke Anthony Blackmon was a registered financial professional .

Luke is a previously registered financial professional and started their career in finance in 2022. Luke had worked at 3 firms and has passed the Series 65, Series 63, Series 6TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
1) 49 Wealth Management, LLC. Investment Related. Located at 5001 W Founders Way, Suite L10, Rodgers, AR 72758. Nature - Registered Investment Adviser. Position - Investment Advisor Representative . Start - 02/2022. 160 hours per month, all during trading hours. Duties - provide advice to clients. 2) 49 Financial; Fixed Insurance - Non- Investment Related. Located at 5001 W Founders Way, Suite L10, Rodgers, AR 72758 Nature - Fixed Insurance and Annuity Business. Position - Insurance Agent. Start 02/2022. 10 hours per month, 10 hours during trading hours. Duties - sell Fixed Insurance and Annuities. 3) Oakwood Capital Securities; investment related; 5001 W Founders Way Rogers AR 72758 USA; Registered Representative; Sale of registered variable products within financial Planning; Start date: 2024-08-06; 180 Hours per month during trading hours; 40 Hours per month outside 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 25, 2024 - December 16, 2024

OAKWOOD CAPITAL SECURITIES, INC.

BD
CRD#: 21000
Rogers, AR
Past

October 20, 2023 - May 9, 2025

49 FINANCIAL

RIA
CRD#: 319484
AUSTIN, TX
Past

May 6, 2022 - January 10, 2024

PURSHE KAPLAN STERLING INVESTMENTS

BD
CRD#: 35747
Rogers, AR

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
IAR
Series 65
Date: 9/1/2023
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/22/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 5/6/2022
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 2/12/2022
Securities Industry Essentials Examination

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 (51 States and Territories)

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

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#: 21000

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