Kevin V. Martin

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CRD#: 1272816

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Kevin Vincent Martin was a registered financial professional .

Kevin is a previously registered financial professional and started their career in finance in 1984. Kevin had worked at 8 firms and has passed the Series 65, Series 63, Series 7, Series 22 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

September 23, 2008 - August 16, 2019

WHITE OAK FINANCIAL MANAGEMENT, INC

RIA

CRD#: 142615

ASHEVILLE, NC

Past

November 21, 2003 - October 16, 2007

LPL FINANCIAL LLC

RIA

CRD#: 6413

ASHEVILLE, NC

Past

March 14, 2003 - October 16, 2007

LPL FINANCIAL LLC

CRD#: 6413

ASHEVILLE, NC

Past

June 15, 2002 - April 7, 2003

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

December 14, 1998 - June 15, 2002

WACHOVIA SECURITIES, INC.

CRD#: 431

CHARLOTTE, NC

Past

April 13, 1992 - December 15, 1998

J.J.B. HILLIARD, W.L. LYONS, LLC

CRD#: 453

LOUISVILLE, KY

Past

January 3, 1989 - April 28, 1992

THE ROBINSON-HUMPHREY COMPANY, LLC

CRD#: 723

ATLANTA, GA

Past

July 2, 1984 - December 24, 1986

AMERICAN EXPRESS FINANCIAL CORPORATION

CRD#: 6320

Past

July 2, 1984 - January 10, 1989

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

WHITE OAK FINANCIAL MANAGEMENT, INC

CAROLINA FAMILY OFFICE | WHITE OAK FINANCIAL MANAGEMENT, INC

CRD#: 142615 / SEC#: 801-131079

RIA

Registered Investment Advisory firm - (9/6/2024 Approved)

North Carolina

Registered Investment Advisory firm - (9/17/2024 Terminated)

South Carolina

Registered Investment Advisory firm - (9/10/2024 Terminated)

Texas

Registered Investment Advisory firm - (9/10/2024 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/20/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/16/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 2/15/1986

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 7/16/1985

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 6/29/1984

Investment Company Products/Variable Contracts Representative Examination

Current Firm

WHITE OAK FINANCIAL MANAGEMENT, INC

CAROLINA FAMILY OFFICE | WHITE OAK FINANCIAL MANAGEMENT, INC

CRD#: 142615 / SEC#: 801-131079

RIA

Registered Investment Advisory firm - (9/6/2024 Approved)

North Carolina

Registered Investment Advisory firm - (9/17/2024 Terminated)

South Carolina

Registered Investment Advisory firm - (9/10/2024 Terminated)

Texas

Registered Investment Advisory firm - (9/10/2024 Terminated)

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Contact information

Main Address

1270 Hendersonville Road Suite #4, Asheville, NC 28803

Mailing Address

Phone number

(828) 274-7844

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A APPENDIX 1 (3/24/2025)

WHITE OAK FINANCIAL MANAGEMENT ADV PART 2 (3/24/2025)

Regulatory assets under management

Total Number of Accounts	845
AUM (Assets Under Management)	$ 112,742,245

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Kevin V. Martin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

WELLS FARGO CLEARING SERVICES, LLC

WACHOVIA SECURITIES, INC.

J.J.B. HILLIARD, W.L. LYONS, LLC

THE ROBINSON-HUMPHREY COMPANY, LLC

AMERICAN EXPRESS FINANCIAL CORPORATION

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

WHITE OAK FINANCIAL MANAGEMENT, INC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/20/2003

Series 63

Date: 7/16/1984

Series 7

Date: 2/15/1986

Series 22

Date: 7/16/1985

Series 6

Date: 6/29/1984

Current Firm

WHITE OAK FINANCIAL MANAGEMENT, INC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WHITE OAK FINANCIAL MANAGEMENT, INC

TRUST BUT VERIFY

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