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 Business Owners, Charitable Giving, Corporate Executives, Education Planning, and 8 more. Their firm serves 8,746 clients with $2.4B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.00% |
The maximum advisor fee is 2.0% of assets. Fees are negotiable between you and your financial professional. Accounts also incur a platform fee consisting of $45 annually plus an asset-based fee between 0.05% and 0.25%.
Fee Estimator
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.
Exams
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