Join Us | Oakwood Capital Securities

Why Oakwood Capital Securities, Inc.

Oakwood Capital Securities, Inc. (“OCS”) is a boutique broker-dealer that works hand-in-hand with you no matter your business structure. Whether operating as an individual, a team member, or OSJ, we offer comprehensive advice and support to help you grow your business. Due to the size of the firm being smaller and more selective, yet run by industry veterans, this enables you to voice your questions and concerns directly with our leadership team while still having the comfort of being backed by experienced leaders.

We believe that personalized financial guidance is a fundamental need for everyone. We help you enable your clients to focus on creating personal, long-term relationships that are founded on trust and mutual respect. Our open architecture platform provides access to thousands of investment products from leading third-party product sponsors, so you are free to customize your practice.

At OCS, we are committed to your success. Run by advisors, like you, we strive to provide the highest-quality support, training, tools, and advice to help you as we understand your needs intimately.

Manage Your Business Seamlessly

Brokerage platform from RBC Clearing & Correspondence

Trackable Commission System

Electronic account opening with DocuSign and LaserApp

Experienced Support Staff

Access to thousands of the top Equities, ETF’s, Mutual Funds

Planning solutions and CRM Integrations

Performance Reporting

Established Compliance Portal

Your Business at OCS

Transition Assistance

We work with you to provide a customized plan in an effort to minimize disruption to you, your team, and your clients. Our team will guide you through the process of moving accounts, learning the platforms and setting up your technology portals.

Grow Your Business

Work directly with our Leadership Team to charter a course with you, customize our relationship as it makes sense, and create a path for us to prosper together for many years to come.

Succession Planning

No matter if you are working as an individual or on a team, OCS Leadership has experience defining relationships and guiding advisors to ensure their business lives on. Whether you are looking to sell, transition to a partner, or planning for your family due to unforeseen events, we understand that your business is your livelihood. It is important to establish a plan for any possibility, and we are here to assist.

Payout Structure

Increase your payout with a competitive grid structure, combining advisory and insurance business through our sister companies, Oakwood Capital, Inc. and Oakwood Capital Insurance Solutions, LLC. Transparent expenses and low monthly assessments compared to industry averages help you keep more of what you make.

Support

Access to market research and best practices keeps your business competitive. Improve operational efficiencies with knowledgeable back-office staff and leadership helps guide you operationally, so forms are always processed timely and in good order.

Marketing

Differentiate your practice with the help of branding and marketing support. As our Leadership team is run by advisors such as yourself, OCS can give unique insights into marketing efforts.

Whatever your vision of success, we’re with you every step of the way.

BGA Relationship

If you're a brokerage general agency, or an advisor affiliated with one, you've likely run into this problem: the broker-dealer you need for variable insurance products is owned by a carrier, affiliated with a competing organization, or simply doesn't understand how the independent insurance distribution channel operates.

Oakwood Capital Securities was built differently.

We're independent. We're not owned by private equity. We're not affiliated with any BGA or carrier in a way that creates conflict with yours. That means when a BGA brings its advisors onto our platform, they get full broker-dealer support — compliance supervision, variable insurance product access, commission processing — without the firm they trust most having to compromise on who they are.

We're also part of something larger. Oakwood Capital Securities is one of the Oakwood Capital family of companies — a fully integrated financial ecosystem that includes accounting, tax, wealth management, and fixed insurance capabilities. For BGAs whose advisors or clients need those services, those doors are already open.

What we offer wholesale partners:

Broker-dealer infrastructure for variable insurance business — supervision, compliance, commission processing
A platform with no proprietary product requirements and no sales quotas
Transition support designed around your organization's structure, not ours
Direct leadership access throughout the relationship, not just at onboarding
Connection to the broader Oakwood Capital ecosystem when your clients need more

JOIN US at Oakwood Capital Securities, Inc.

Ready for a discussion? Let’s Talk!

Contact us directly or complete the ‘Contact Us’ form.

Oakwood Capital Securities, Inc.
join@oakwoodcapital.com
952-956-6103