James Moore is a registered investment advisor at Silver Oak Securities, INC., based in Knoxville, TN, with 14 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
9729 Cogdill Rd., Ste. 104, Knoxville, TN, 37932
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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James serves as a FINRA non-public arbitrator since 2019, helping to resolve disputes within the securities industry. This activity requires minimal time.
Employment History
Current Registrations
Silver Oak Securities, INC.
Silver Oak Securities, IncorporatedBroker
Previous Registrations
Securities America Advisors, INC.
Securities America, INC.Broker
Ssn Advisory, INC.
Securities Service Network, LLCBroker
State Registrations1 state
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