CRD #21000 · FINRA BrokerCheck + SEC IAPD

Oakwood Capital Securities, Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Oakwood Capital Securities, Inc. ranks #4,482 of 20,055 by disclosure count (most disclosures first). Among firms registered in FL, it ranks #88 of 251 on the same disclosure sort used on the state browse page. Oakwood Capital Securities, Inc. carries 1 BrokerCheck disclosure across 31 branch offices - light load for a mid-sized firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
31
branch offices
1
disclosure
#4,482 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 21000 Oakwood Capital Securities, Inc.

Oakwood Capital Securities, Inc. · Grade B · 1 disc · 0.03/office · Mid-sized firm

  • CRD 21000
  • GRADE B
  • DISC 1
  • REG 1
  • ARB 0
  • CIV 0
  • BRANCH 31
  • PER-OFF 0.03
  • RANK #4,482 of 20,055
  • BOOK Mid-sized firm

Intensity peers

Nearest same-size peer: MMA Securities LLC (0.03 disc/office)

MMA Securities LLC0.03Capfinancial Securities…0.03Transamerica Investors …0.04Oakwood Capital Sec… (this)0.03
Disclosures per office among mid-sized firm peers (lower is cleaner)

Oakwood Capital Securities, Inc. ranks #4,482 of 20,055 by disclosure count among graded broker-dealers; light load at 0.03 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 4/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

31 offices

FINRA: Small firm

Total disclosures

1 event

On FINRA BrokerCheck

Regulatory events

1 action

100% of all disclosures

Disclosures per office

0.03 per office

1 ÷ 31 offices

Oakwood Capital Securities, Inc. vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

0 Among the cleanest for its size a cleaner per-office record than 94% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). This entry sits in this band. 0–1: 159 disclosing firms (13%). Above this entry. 1–1: 301 disclosing firms (24%). Above this entry. 1–1: 40 disclosing firms (3%). Above this entry. 1–1: 140 disclosing firms (11%). Above this entry. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 1
Arbitrations 0
Civil Events 0
Total 1

Counts for Oakwood Capital Securities, Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 1 Arbitration 0 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
Fort Myers, FL
CRD Number
21000

Regulator-heavy mix

Oakwood Capital Securities, Inc. in the heavier-disclosure third

Oakwood Capital Securities, Inc. carries 1 BrokerCheck disclosure across 31 branch offices - a heavier-third raw book among graded firms (#4,482 of 20,055). Regulator-initiated events are 100% of the book (1 regulatory / 0 arbitration / 0 civil).

100% of Oakwood Capital Securities, Inc.'s 1 disclosures are regulator-initiated (1 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Oakwood Capital Securities, Inc.'s disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

Florida cohort · 0.22× state average

Oakwood Capital Securities, Inc. sits below the Florida disclosure average

Oakwood Capital Securities, Inc. reports 1 BrokerCheck disclosure, 0.22× the Florida average of 4.6, lighter than most of the 251 graded firms filed there.

In Florida, 152 firms carry Grade A and 0 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the Florida state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Oakwood Capital Securities, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Oakwood Capital Securities, Inc. ranks #4,482 of 20,055 by disclosure count (most disclosures first). Among firms registered in FL, it ranks #88 of 251 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of B mean for Oakwood Capital Securities, Inc.?
A grade of B reflects Oakwood Capital Securities, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (mid-sized firm). It carries 1 total disclosure across 31 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Oakwood Capital Securities, Inc. have?
Oakwood Capital Securities, Inc. has 1 total FINRA disclosure, including 1 regulatory event. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Oakwood Capital Securities, Inc.?
Oakwood Capital Securities, Inc. operates 31 branch offices and is classified by FINRA as a small firm, registered in FL (Mid-sized firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Oakwood Capital Securities, Inc.'s disciplinary record?
You can verify Oakwood Capital Securities, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 21000. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event on a broker-dealer's record, including regulatory actions, customer complaints, arbitration proceedings, and civil court events. Disclosures are part of the public record maintained by FINRA and do not necessarily indicate wrongdoing or proven violations.
Should I avoid Oakwood Capital Securities, Inc. because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Oakwood Capital Securities, Inc. carries 1 disclosure across 31 branch offices (about 0.03 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for Oakwood Capital Securities, Inc., both outside FL so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

  • MMA Securities LLC (NY) - 0.03 disclosures/office, nearest mid-sized firm peer to Oakwood Capital Securities, Inc.'s 0.03
  • Capfinancial Securities, LLC. (NC) - 0.03 disclosures/office, nearest mid-sized firm peer to Oakwood Capital Securities, Inc.'s 0.03
  • Transamerica Investors Securities, LLC (NY) - 0.04 disclosures/office, nearest mid-sized firm peer to Oakwood Capital Securities, Inc.'s 0.03
  • Firms in FL - state roster that includes Oakwood Capital Securities, Inc.'s registration home.
  • How to Vet a Financial Advisor - Due diligence checklist when reviewing a Grade B firm like Oakwood Capital Securities, Inc..
  • Reading BrokerCheck Reports - How Oakwood Capital Securities, Inc.'s 0.03 disclosures-per-office figure is derived.
  • Most Disclosures - Raw disclosure-volume leaders for context next to Oakwood Capital Securities, Inc..
  • Compare firms - put Oakwood Capital Securities, Inc. next to peers on grade and footprint.

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.