James Anderson
James Anderson is a registered investment advisor at Silver Oak Securities, INC., based in Louisville, KY, with 22 years of industry experience. James operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Investment Management, and 2 more. Their firm serves 8,671 clients with $2B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Silver Oak Securities offers investment management through its Compass and AdvisorFX programs. The advisor fee is negotiable, with a maximum of 2% of assets. In addition to the advisor fee, there is a platform fee that includes a flat $45 per year and an asset-based fee between 0.08% and 0.15% for Compass accounts, and 0.20% for AdvisorFX accounts. Fees are billed quarterly or monthly, either in arrears or in advance. The platform fee covers access to account data, performance reporting, and other services.
Location
101 N. 7th Street, Louisville, KY, 40202
Get directionsHistory
Regulatory History (5)
Employment Separation After Allegations
January 2012Judgment / Lien
December 2011Customer Dispute
September 2011Customer Dispute
March 2002Customer Dispute
October 2001Employment History
Current Registrations
Silver Oak Securities, INC.
Previous Registrations
Seacrest Wealth Management, LLC
Morgan Stanley Smith Barney LLC
Morgan Stanley & CO. Incorporated
Morgan Stanley
Morgan Stanley
Natcity Investments, INC.
State Registrations2 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.