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Steven Michael Fromm

Oakwood Capital, Inc.

St. Louis Park, MN

Saint Augustine, FL

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Current Employers
Oakwood Capital, Inc.

600 Highway 169 South Suite 1410, St. Louis Park, MN 55426 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2026-05-13
  • FL RA
    APPROVED
    Since 2026-05-13

Branch Locations

600 Highway 169 South Suite 1410, St. Louis Park, MN 55426 • United States

Saint Augustine, FL • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Raymond James Phoenix AZ 01/2016 04/2018
Raymond James & Associates, Inc. Jacksonville FL 04/2018 04/2019
Raymond James & Associates, Inc. Saint Augustine FL 04/2019 04/2021
Db Usa Core Corp (Affiliate Of Dbsi) Jacksonville FL 04/2021 09/2022
First Command Brokerage Services, Inc Fort Worth TX 10/2022 06/2024
Lpl Enterprise, Llc Fort Mill SC 09/2024 03/2026
Oakwood Capital Securities, Inc. Minneapolis MN 03/2026 Present
  • 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
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2025-01-10
S63 Uniform Securities Agent State Law Examination 2010-06-23
  • 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

View on SEC IAPD

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