Affiliated Broker-Dealer (“BD”) company

Oakwood Capital Securities logo


Oakwood Capital Securities, Inc. (“OCS”) was formed in 1987 as an introducing broker-dealer (BD) that offers a variety of securities and fixed income solutions. Committed to helping people pursue their financial goals, Oakwood Capital Securities, Inc. has a long-standing history of high integrity and excellent service.

All our financial consultants are independent contractors offering a wide range of financial products and services to individuals and business owners. Similar to Oakwood Capital, Inc., OC does not offer proprietary products and services, so all financial consultants offer independent advice.

Custody & Clearing Partners

RBC Custody and Clearing & Charles Schwab

RBC Custody & Clearing is one of the world’s largest providers of financial and brokerage services offering comprehensive clearing, custody and execution services to a variety of broker-dealers, such as Oakwood Capital Securities, Inc. Charles provides a full range of brokerage, banking and financial advisory services through its operating partners such as Oakwood Capital, Inc. Offering investors a contemporary, full-service approach to build and manage their investments, providing investment-related products, services, and sophisticated financial planning that combine the best of what people and technology have to offer.

As custodian of your account(s), RBC Custody & Clearing, as well as Charles Schwab at the direction of Oakwood Capital, Inc., is responsible for:

  • The execution, clearance, and settlement of securities transactions
  • The preparation and delivery of transaction confirmations and account statements
  • The custody (or safekeeping), receipt, and delivery of cash, funds and securities