Company Information

Get to know Oakwood Capital Securities, Inc.

Oakwood Capital Securities, Inc. (CRD# 121510 / SEC# 8-65135) was a securities brokerage firm based in Beverly Hills, California. The company was registered with the U.S. Securities and Exchange Commission (SEC) and was a member of the Financial Industry Regulatory Authority (FINRA), then known as the National Association of Securities Dealers (NASD). Its primary business involved acting as a broker-dealer for securities. The firm's history is marked by regulatory actions, culminating in its expulsion from FINRA membership in 2005 for failure to pay fines and costs, effectively ending its operations.

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Oakwood Capital Securities, Inc.

United States

Founded in

1987 (39 Years)

Founded

Last online: No recent activity

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OVERALL SCORE

Licenses

--/40

Reviews

--/60

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Regulated

Recommended

(73 reviews)

Cyprus

2009

(17 years)

Security Information :

CySEC

FSCA

DFSA

Security Information

Warning

This company is currently Unproved.

Please be cautious of the potential risks!

License

A Grade License

Issued by globally renowned regulators, these licenses ensure the highest trader protection through strict compliance, fund segregation, insurance, and regular audits. Dispute resolution and adherence to AML/CTF standards further enhance security.

B Grade License

Granted by respected regional regulators, these licenses offer robust safety measures such as fund segregation, financial reporting, and compensation schemes. Though slightly less strict than Tier 1, they provide dependable regional protection.

C Grade License

Issued by regulators in emerging markets, these licenses offer basic protections such as minimum capital requirements and AML policies. Oversight is less stringent, so traders should exercise caution and verify safety measures.

D Grade License

From jurisdictions with minimal oversight, these licenses often lack key protections like fund segregation and insurance. While attractive for operational flexibility, they pose higher risks to traders.

TrustFinance is not a licensed financial advisor and is not affiliated with any financial institutions in your region. We encourage you to do your own research before making any investment decisions.