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Douglas Stephan King

Investment Adviser Representative at OAKWOOD CAPITAL, INC.

St. Louis Park, MNCRD #1375683Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
40 yrs
States Registered
46 states
Exams Passed
11

Professional summary

Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.

Douglas Stephan King has worked in the securities industry since 1986. They are registered to provide investment advisory services in 46 U.S. states.

Registrations & licenses

Registration type
Dual-registered
Registered in 46 states
AlabamaArizonaArkansasCaliforniaColoradoConnecticutDelawareDistrict of ColumbiaFloridaGeorgiaHawaiiIdahoIllinoisIndianaIowaKansasKentuckyLouisianaMarylandMassachusettsMichiganMinnesotaMississippiMissouriMontanaNebraskaNevadaNew JerseyNew MexicoNew YorkNorth CarolinaNorth DakotaOhioOklahomaOregonPennsylvaniaPuerto RicoSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaWashingtonWisconsinWyoming
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 1/11/1995
Series 63
Uniform Securities Agent State Law Examination
Passed 6/21/1985
Series 52
Municipal Securities Representative Examination
Passed 1/2/2023
Series 99
Operations Professional Examination
Passed 1/2/2023
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 7/20/1985
Series 14
Compliance Officer Examination
Passed 1/2/2023
Series 10
General Securities Sales Supervisor - General Module Examination
Passed 1/2/2023
Series 9
General Securities Sales Supervisor - Options Module Examination
Passed 1/2/2023
Series 24
General Securities Principal Examination
Passed 9/30/2020
Series 8
General Securities Sales Supervisor Examination (Options Module & General Module)
Passed 8/11/1995

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Account minimum: $25,000

Firm-stated minimum; may be waived at the firm's discretion.

Source

Oakwood Capital, Inc. Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

OAKWOOD CAPITAL, INC.Current
4/30/2020St. Louis Park, MN
GARDNER ADVISORS INC.
4/30/202012/31/2020Fort Myers, FL
PROSPERITY CAPITAL ADVISORS
4/7/20176/17/2020Wayzata, MN
CETERA ADVISOR NETWORKS LLC
4/24/20129/17/2017Wayzata, MN
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
12/17/20031/28/2011Minneapolis, MN

Official records & sources

Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Douglas Stephan King has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

Douglas Stephan King - Financial Advisor in St. Louis Park, MN | AdvisorFinder