James Jennings
James Jennings is a registered investment advisor at Silver Oak Securities, INC., based in Carterville, GA, with 17 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
Carterville, GA
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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.
Learn about disclosures →Other Business ActivitiesSells Insurance
James is a real estate agent, a representative for Black Oak Asset Management (taking up nearly full-time), and involved with multiple education foundations. He also sells insurance through NFP, dedicating about half his time to this activity.
Employment History
Current Registrations
Silver Oak Securities, Incorporated
Silver Oak Securities, IncorporatedBroker
Silver Oak Securities, INC.
Previous Registrations
Kovack Securities INC.Broker
Resource Horizons Investment Advisory, INC.
Resource Horizons Group LLCBroker
Oneamerica Securities, INC.
Oneamerica Securities, INC.Broker
NFP Securities, INC.
NFP Securities, INC.Broker
State Registrations3 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.