Disclosure

The information contained on this website is not a complete analysis of every material fact with respect to any market, company, industry, security, or investment. Opinions expressed are subject to change without notice. Recommendations provided by our Representatives are based on the financial, investment objective, and risk tolerance information provided to them by their clients. Statements of fact have been obtained from sources considered reliable, but no representation is made by Oakwood Capital Securities, Inc. (OCS) or any Registered Representative of the company as to completeness or accuracy.

Nothing communicated on this website should be construed as an offer to buy or sell, or solicitation of an offer to buy or sell any securities. 

Oakwood Capital Securities, Inc. is not registered in all states, nor in any international authority. This information is not to be construed as a solicitation in any such state or authority where OCS is not duly entitled to do so. Any responses received by OCS, because of information available on this website, will be screened to ensure compliance with regulations. 

 

USA Patriot Act

Customer Identification Program Notice

Important information you need to know about opening a new account.

To help the government fight the funding of terrorism and money laundering activities, Federal law requires financial institutions to obtain, verify, and record information that identifies each person who opens an account.

This notice answers some questions about your firm's Customer Identification Program.

What types of information will I need to provide?

When you open an account, your firm is required to collect information such as the following from you:
 

  • Your name
  • Date of Birth
  • Address
  • Identification Number
  • U.S. Citizen: taxpayer identification number (social security number or employer identification number)
  • Non-U.S. Citizen: taxpayer identification number, passport number, country of issuance, alien identification card number, or government-issued identification showing nationality, residence, and a photograph of you.

You will also need to provide a copy of your driver's license or other identifying documents.

A corporation, partnership, trust, or other legal entity will need to provide other information, such as its principal place of business, local office, employer identification number, certified articles of incorporation, government-issued business license, a partnership agreement, or a trust agreement.

U.S. Department of the Treasury, Securities and Exchange Commission and FINRA rules already require you to provide most of this information. These rules also may require you to provide additional information, such as your net worth, annual income, occupation, employment information, investment experience and objectives, and risk tolerance.

What happens if I don't provide the information requested or my identity can't be verified? 

Our firm may not be able to open an account or carry out transactions for you. If our firm has already opened an account for you, we may have to close it. 

Click the following link for a printable copy and additional information: US Patriot Act.

 

Oakwood Capital Securities, Inc. ("OCS")

OCS BUSINESS CONTINUITY PLANNING STATEMENT

OCS recognizes the importance of protecting its employees, clients, and business at all times including during an emergency.  OCS has developed a Business Continuity Plan (BCP) that will be invoked if our business is significantly disrupted. The BCP provides the procedures we will follow to allow us to continue our operations through such means as using an alternative site, using remote access to our systems, and shifting work amongst our employees. The creation and maintenance of this BCP is required by industry regulations.

Our BCP addresses business disruptions of varying nature including those that only affect our firm, the building housing our firm, the city where we are located and the region where we are located. Within each of these areas, a disruption can vary from moderate to severe. Disruptions can be affected by the time of day or the date on which they occur.  The variation in disruptions, the availability of outside resources, and circumstances we cannot control will affect our business recovery time. If the business disruption is so severe, we determine we cannot remain in business, we will make arrangements to give our customers prompt access to their funds and securities.

Copies of our BCP are maintained in multiple firm locations including our alternative operating site. The BCP can be invoked by numerous members of our staff. The BCP is tested and updated annually or in case of a material change in the way OCS does business.  

Our BCP contains details of a confidential and proprietary nature and therefore is not distributed to the public. A summary of the BCP is posted on our website www.oakwoodcapitalsecurities.com. The website will be updated if material changes are made to our BCP as required by law. Your Financial Consultant can provide you with a hard copy of the BCP summary. If you have any questions related to our Business Continuity Plan, please feel free to contact us at 952-935-4601.

Click the following link for a printable copy and additional information: GFS Business Continuity Plan Summary.

 

Quarterly Report 11Ac1-6 Order Routing for RBC CS

Click on the provided link for desired information.  You will be leaving Oakwood Capital Securities, Inc. website when you click on the link(s) below.

RBC CS.com

SEC Order Handling Disclosure and Order Handling Disclosure Report