SILVER OAK SECURITIES INCORPORATED of JACKSON, TN is an SEC-registered investment adviser (CRD 46947). Regulatory assets under management: $2.4B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities.
Showing 25 of 47 people.
| Name | Role | Location |
|---|---|---|
| Charles King | SHAREHOLDER | MURFREESBORO, TN |
| Charles Owen | SHAREHOLDER | Austin, TX |
| Charles Marshall Owen | SHAREHOLDER | Atlanta, GA |
| Charles C King | SHAREHOLDER | Baltimore, MD |
| Charles B Owen | SHAREHOLDER | Austin, TX |
| Charles E King | SHAREHOLDER | Lake Forest, IL |
| Charles Coleman King | SHAREHOLDER | — |
| George Thomas Allen Iii | FINOP, CHIEF FINANCIAL OFFICER | — |
| William Elliston Ii Hopkins | PRESIDENT, SECRETARY | — |
| William Michael Roberts | SHAREHOLDER | — |
| Jerry Dean Shobe | SHAREHOLDER | — |
| David Hudson Melendy | VICE PRESIDENT ADVISORY SERVICES | — |
| William Nolan Reuther | CHIEF COMPLIANCE OFFICER | — |
| Andrew Robert Wallace | SHAREHOLDER | — |
| Joshua Depaull Travis | SHAREHOLDER | — |
| BAXLEY JOHN DOUGLAS | CHIEF COMPLIANCE OFFICER | — |
| WALLACE JOHN ROBERT | SHAREHOLDER | — |
| JAFFE EDWIN HENRY | SHAREHOLDER | — |
| ALLEN DANIEL THOMAS | FINOP; FINOP, CHIEF FINANCIAL OFFICER | — |
| ROBERTS WILLIAM MICHAEL | SHAREHOLDER | — |
| HOPKINS WILLIAM ELLISTON II | PRESIDENT, SECRETARY; PRESIDENT, SECRETARY, CHIEF COMPLIANCE OFFICER, MUNICIAPL PRINCIPAL, SENIOR REGISTERED OPTIONS PRINC, COMPLIANCE OPTIONS PRINC. | — |
| HOPKINS ANN FREEMAN | SHAREHOLDER | — |
| SHOBE JERRY DEAN | SHAREHOLDER | — |
| COBB SANDRA M | SHAREHOLDER | — |
| DENTON JOHN EDWIN | SHAREHOLDER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2025-06-02 | regulatory | FROM AT LEAST MARCH 2021 TO SEPTEMBER 2022, SILVER OAK'S SUPERVISORY SYSTEM, INCLUDING WRITTEN SUPERVISORY PROCEDURES, WAS NOT REASONABLY DESIGNED TO SUPERVISE THE USE, DISSEMINATION, AND PRESERVATION OF CONSOLIDATED REPORTS. BETWEEN MARCH 1, 2021, AND MARCH 31, 2022, THE FIRM FAILED TO TIMELY REVIE… | Final | $65K |
| 2016-08-03 | regulatory | ON AUGUST 3, 2016, THE BANKING COMMISSIONER ENTERED A CONSENT ORDER WITH RESPECT TO SILVER OAK SECURITIES, INC., A BROKER DEALER AND INVESTMENT ADVISER WITH ITS MAIN OFFICE AT 3339 NORTH HIGHLAND AVENUE, JACKSON, TENNESSEE 38305. THE FIRM ALSO MAINTAINS A BRANCH OFFICE AT 100 GREAT MEADOW ROAD, SUIT… | Final | $35K |
| 2016-06-08 | regulatory | FAILURE TO COMPLY WITH NAC 90.392 WHICH REQUIRES THE LICENSING OF A BRANCH OFFICE IN THE STATE OF NEVADA FOR THE PERIOD OF SEPTEMBER 13, 2011 THROUGH JANUARY 4, 2013, | Final | $2K |
| 2013-12-05 | regulatory | FINRA RULE 2010, NASD RULE 3010: THE FIRM PERMITTED A SINGLE REGISTERED REPRESENTATIVE TO RECOMMEND AND SELL NON-TRADITIONAL ETFS TO SOME OF THE FIRM'S CUSTOMERS. THE FIRM DID NOT, HOWEVER, INVESTIGATE THE CHARACTERISTICS AND RISK FACTOR'S OF SUCH PRODUCTS BEFORE ALLOWING ITS RR TO RECOMMEND THEM TO… | Final | $10K |
| 2009-05-07 | regulatory | THE COMMISSIONER, AS A RESULT OF AN EXAMINATION AND INVESTIGATION, ALLEGES THAT, FROM EARLY 2008 FORWARD, SILVER OAK VIOLATED SECTION 36B-6(D) OF THE ACT BY TRANSACTNG BUSINESS FROM 3 PLACES OF BUSINESS PRIOR TO THOSE LOCATIONS BEING REGISTERED AS BRANCH OFFICES. | Final | $3K |
| 2003-12-30 | regulatory | REGISTRATION AS A DEALER IN THE STATE OF ILLINOIS WAS CANCELLED PURSUANT TO SECTION 8.E(2) OF THE ILLINOIS SECURITIES LAW | Final | — |
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