Steven Michael Fromm

Employer firm

Oakwood Capital, Inc. CRD 112399

$304M regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/2016 → 04/2018
  Raymond James
  Phoenix, AZ
• 04/2018 → 04/2019
  Raymond James & Associates, Inc.
  Jacksonville, FL
• 04/2019 → 04/2021
  Raymond James & Associates, Inc.
  Saint Augustine, FL
• 04/2021 → 09/2022
  Db Usa Core Corp (Affiliate Of Dbsi)
  Jacksonville, FL
• 10/2022 → 06/2024
  First Command Brokerage Services, Inc
  Fort Worth, TX
• 09/2024 → 03/2026
  Lpl Enterprise, Llc
  Fort Mill, SC
• 03/2026 → Present
  Oakwood Capital Securities, Inc.
  Minneapolis, MN

Exams

• S65 Uniform Investment Adviser Law Examination
  2025-01-10
• S63 Uniform Securities Agent State Law Examination
  2010-06-23

Other Names

• Steve Michael Fromm
• Steven Michael Fromm
• Steven Fromm