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Investment Adviser Firm Summary

SILVER OAK SECURITIES INCORPORATED (CRD# 46947 / SEC# 8-51601, 801-71178)
Alternate Names: ARMOR FINANCIAL, GROUP , ASSET PLANNING SERVICES, INC. , B&H WEALTH STRATEGIES , BLACK OAK ASSET MANAGEMENT , BLAKE FINANCIAL , BRICKEY WEALTH MANAGEMENT , CAPITAL WEALTH MANAGEMENT , CENTORBI FINANCIAL , DREHER ADVISORY SERVICES , FINANCIAL SERVICE ASSOCIATES , FOUNDATION FINANCIAL CONCEPTS, LLC , HEARN WEALTH MANAGEMENT , JAFFE WEALTH MANAGEMENT , JOHNSON BRUNNETTI , LEGACY GROUP PLANNING , NEW FINANCIAL CONCEPTS, INC. , OLD TOWNE INVESTMENTS , PENSION PARTNERS , PORTFOLIO IA , R. F. BISSER & ASSOCIATES FINANCIAL CONSULTANTS , RETIREMENT SECURITY GROUP , SILVER OAK SECURITIES INCORPORATED , SILVER OAK SECURITIES, INC. , SILVER OAK SECURITIES, INCORPORATED , SMART PLAN FINANCIAL , SMITH & BUCKLAND ASSET MANAGEMENT , SOUTHERN TRUST WEALTH MANAGEMENT , TRINITAS FINANCIAL PARTNERS , VISION ASSET MANAGEMENT , WILLIAM E. HOPKINS & ASSOCIATES, INC.

The adviser's REGISTRATION status is listed below.


This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 04/16/2010
Arkansas Terminated 04/17/2014
California Terminated 03/03/2013
Colorado Terminated 10/02/2012
Connecticut Terminated 10/15/2012
Georgia Terminated 09/26/2012
Indiana Terminated 09/26/2012
Kentucky Terminated 09/28/2012
Louisiana Terminated 10/02/2012
Mississippi Terminated 02/01/2013
Missouri Terminated 02/01/2013
North Carolina Terminated 02/11/2016
Ohio Terminated 02/12/2016
South Carolina Terminated 09/26/2012
Tennessee Terminated 10/26/2012

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 08/22/2014
Arizona 05/22/2015
Arkansas 04/01/2014
California 02/01/2013
Colorado 09/26/2012
Connecticut 09/28/2012
Florida 01/24/2013
Georgia 09/26/2012
Illinois 02/22/2012
Indiana 09/26/2012
Iowa 03/30/2016
Kentucky 09/28/2012
Louisiana 09/28/2012
Massachusetts 01/23/2013
Michigan 11/17/2015
Mississippi 04/08/2017
Missouri 08/14/2012
Nevada 11/14/2017
New Hampshire 04/01/2014
New Jersey 05/03/2018
New Mexico 03/30/2016
New York 03/31/2018
North Carolina 04/01/2014
Ohio 04/01/2014
Pennsylvania 11/17/2015
South Carolina 09/26/2012
Tennessee 09/26/2012
Texas 03/30/2016
Virginia 04/01/2014
Wisconsin 08/14/2012

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser