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William Nagy

Silver Oak Securities, INC.
35 Years of Experience
Florence, KY
7 DisclosuresBrokerSells Insurance
View SEC Summary
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William Nagy is a registered investment advisor at Silver Oak Securities, INC., based in Florence, KY, with 35 years of industry experience. William is also registered as a broker, so some compensation may come from commissions on products sold. 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.

Silver Oak Securities, INC.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
168 advisors
Number of Clients
8,746 clients
Average Client Portfolio
$280K average
Assets Under Management
$2.4B

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.00%

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
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

7310 Turfway Road, Suite 550, Florence, KY, 41042

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History

Regulatory History (7)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
November 2004
Denied
Customer Dispute
June 2004
Settled
Customer Dispute
September 2002
Settled
Employment Separation After Allegations
September 2002
Regulatory
December 2001
Final
Customer Dispute
April 1996
Settled
Customer Dispute
October 1994
Settled
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

William is involved in independent insurance sales, earning commissions on a part-time basis, dedicating a few hours per week. He also conducts financial services business through New Financial Concepts, Inc.

Employment History
Current Registrations
Silver Oak Securities, INC.
April 2015 - Present · 11 yrs 6 mos
Silver Oak Securities, IncorporatedBroker
April 2015 - Present · 11 yrs 6 mos
Previous Registrations
Creative Financial Designs, INC.
February 2004 - April 2015 · 11 yrs 2 mos
Cfd Investments, INC.Broker
February 2004 - April 2015 · 11 yrs 2 mos
USA Financial Securities Corporation
May 2003 - February 2004 · 9 mos
USA Financial Securities CorporationBroker
September 2002 - February 2004 · 1 yr 5 mos
The O.N. Equity Sales CompanyBroker
March 1997 - September 2002 · 5 yrs 6 mos
Pruco Securities CorporationBroker
June 1991 - December 1996 · 5 yrs 6 mos
The Prudential Insurance Company of AmericaBroker
June 1991 - December 1993 · 2 yrs 6 mos
State Registrations8 states
FLINKYMIOHTXUTWI
AdvisorBrokerBoth

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
No exam information available for this advisor.
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