JW
Jon R. Winteregg
SILVER OAK SECURITIES
Greenwood, IN 46143
Some features on this profile are disabled
CRD#: 1359847
JW
Professional summary
Jon Raymond Winteregg is a registered financial advisor currently at SILVER OAK SECURITIES, INCORPORATED located in Greenwood, Indiana.
Jon is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Jon has worked at 9 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7 and Series 53 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1). "Ash Brokerage, LLC",Is Not Investment Related,,Insurance,Agent,2008-06-01,2 hours per month,2 hours per month during trading hours,Commission Compensation,"Fixed insurance business, Life (Permanent/Term), Fixed/Indexed Annuities, LTCare policies" 2). Co-trustee on Mother's Trust,Is Investment Related,"720 Executive Park Drive, Suite 1600, Suite 1600, Greenwood, IN, 46143, United States",Co-Trustee,Co-Trustee,1999-08-30,1 hours per month,1 hours per month during trading hours,Commission Compensation,"Following the death of my father, I became co-trustee's with my mother on her living trust." 3). "Winteregg Berne Property, LLC",Is Investment Related,,Manager of LLC,Manager,2021-10-29,1 hours per month,1 hours per month during trading hours,Commission Compensation,"Following the unexpected death of my co-trustee brother Greg Winteregg, Estate planning attorney Brian Eagle recommended the creation of the Winteregg Berne Property LLC to hold the two commercial properties that were in my mother's trust." 4). "Winteregg & Associates, LLC",Is Not Investment Related,,Consultation,Advisor,2022-04-04,1 hours per month,1 hours per month during trading hours,No Compensation Compensation,Asked to be a financial services vendor option on the the Dental Associations membership platform of the company my brother Greg Winteregg was a partner for over 25 years. We accepted under the understanding we would do an initial consulation and waive any fees associated with the session. 5). "becauseOne, LLC",Is Not Investment Related,"407 West Smith Valley Road, Unit 663, Greenwood, IN, 46143, United States",Online platform for Charity,Consultant,2022-10-01,5 hours per month,3 hours per month during trading hours,No Compensation Compensation,"Consultant to family business that provides an online platform for Not For Profits to clearly display their most pressing needs so they may be aligned with gifters with similar passions and interests. I will support my wife and daughter's efforts to help all individuals, organizations, and corporations make a difference in our world."
CRS (Client Relationship Summary) - RIA
Click below to view Jon Raymond Winteregg's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jon Raymond Winteregg's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
September 22, 2022 - Present
SILVER OAK SECURITIES, INCORPORATED
Office #1: 720 Executive Park Dr Suite 1600, Greenwood, IN 46143RIA
BD
CRD#: 46947
Greenwood, IN
Current
September 22, 2022 - Present
SILVER OAK SECURITIES, INCORPORATED
Office #1: 720 Executive Park Dr Suite 1600, Greenwood, IN 46143RIA
BD
CRD#: 46947
Greenwood, IN
Past
September 18, 2020 - September 26, 2022
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
GREENWOOD, IN
Past
September 18, 2020 - September 26, 2022
SECURITIES AMERICA, INC.
BD
CRD#: 10205
Greenwood, IN
Past
December 7, 2012 - September 18, 2020
SSN ADVISORY, INC.
RIA
CRD#: 126090
Greenwood, IN
Past
December 7, 2012 - September 18, 2020
SECURITIES SERVICE NETWORK, LLC
BD
CRD#: 13318
Greenwood, IN
Past
May 7, 2008 - December 19, 2012
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
RIA
CRD#: 15708
GREENWOOD, IN
Past
May 2, 2008 - December 19, 2012
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
GREENWOOD, IN
Past
October 31, 2002 - May 27, 2008
LANGDON SHAW ASSOCIATES, INC.
RIA
CRD#: 121850
INDIANAPOLIS, IN
Past
January 8, 1990 - May 27, 2008
ALLIED MILLENNIAL PARTNERS, LLC
BD
CRD#: 16569
INDIANAPOLIS, IN
Past
April 24, 1985 - January 18, 1990
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
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".
SO
SILVER OAK SECURITIES, INCORPORATED
AMA FINANCIAL PARTNERS | ZOOK FINANCIAL | ZETTERGREN FINANCIAL GROUP | WINTEREGG AND ASSOCIATES | WILLIAM E. HOPKINS & ASSOCIATES, INC. | WICKER FINANCIAL GROUP | WEALTH COACH FINANCIAL | VISION401K LLC | VISION ASSET MANAGEMENT | TRUNORTH INVESTMENT MANAGEMENT | TRINITAS FINANCIAL PARTNERS | TALLGRASS WEALTH MANAGEMENT | STOLTZFUS FINANCIAL | SPIVEY FINANCIAL GROUP | SOUTHERN TRUST WEALTH MANAGEMENT | SOLID ROCK RETIREMENT STRATEGIES | SMART PLAN FINANCIAL | SILVER OAK SECURITIES, INCORPORATED | SILVER OAK SECURITIES, INC. | SILVER OAK SECURITIES INCORPORATED | SECURE RETIREMENT ADVISORS, LLC | SCHROCK FINANCIAL LLC | SCHMIDT WEALTH MANAGEMENT, LLC | RETIREMENT SECURITY GROUP | RAILEY FINANCIAL SERVICE | R. F. BISSER & ASSOCIATES FINANCIAL CONSULTANTS | PORTFOLIO IA | PLANNING LEGACIES FINANCIAL GROUP | PENSION PARTNERS | PEAK WEALTH ADVISORS | OLD TOWNE INVESTMENTS | NEW FINANCIAL CONCEPTS, INC. | MOSS WEALTH ADVISORS, LLC | MIDDLETON FINANCIAL | MEREDITH DEKKER FINANCIAL SERVICES LLC | MCKNIGHT ADVISORY GROUP, INC. | MAGNATE WEALTH | LOCKMUND FINANCIAL GROUP | LIFETIME FINANCIAL SOLUTIONS, INC. | LIFETIME FINANCIAL GROUP, INC. | LEON FINANCIAL GROUP | LEGACY GROUP PLANNING | LEDGEROCK ADVISORS, LLC | LAMON & WALLACE | L.P. FINANCIAL ADVISORS, INC. | JOHNSON BRUNNETTI | JOANNA SLADE, CLU®, CFP®, EA | JMS FINANCIAL SOLUTIONS, LLC | JAFFE WEALTH MANAGEMENT & CONSULTING INC. | INVITE WEALTH MANAGEMENT | HOLLIMAN GROUP | HEARN WEALTH MANAGEMENT | GRUCZ FINANCIAL | GARY W DORSEY AND ASSOCIATES | GARRISON INVESTMENT STRATEGIES | FOUNDATION FINANCIAL CONCEPTS, LLC | FORTUNE STRATEGIES LLC | FINANCIAL SERVICE ASSOCIATES | FINANCIAL RESOURCE ADVISORS | FAMILY WEALTH ADVISORY | F3 ADVISORS | EJC INSURANCE AND FINANCIAL | DREHER ADVISORY SERVICES | DEKKER FINANCIAL SERVICES | D & B ACCOUNTING & FINANCIAL GROUP, PLLC | CREECH WEALTH MANAGEMENT | CORNERSTONE FINANCIAL GROUP | CORAM DEO ADVISORS | COMPREHENSIVE FINANCIAL STRATEGIES, LLC | COKER WEALTH MANAGEMENT, LLC | CHANCERY FINANCIAL ADVISORS | CENTORBI FINANCIAL | CAROLINAS WEALTH MANAGEMENT | BROWN FINANCIAL SERVICES | BRICKEY WEALTH MANAGEMENT | BLAKE FINANCIAL | BLACK OAK ASSET MANAGEMENT | BIVEN FINANCIAL SERVICES | BIG ROCK WEALTH ADVISORS | BENNETT & BENNETT FINANCIAL, LLC | BENEFIT FINANCIAL SERVICES, LLC | BARONE FINANCIAL GROUP | B&H WEALTH | ASSET PLANNING SERVICES, INC. | ARMOR FINANCIAL, GROUP | ARBOR FINANCIAL ADVISORS | AMS FINANCIAL GROUP | AMERICAN CORNERSTONE GROUP, INC.
CRD#: 46947 / SEC#: 801-71178, 8-51601
RIA
Registered Investment Advisory firm - SEC (4/16/2010 Approved)Arkansas
Registered Investment Advisory firm - SEC (4/17/2014 Terminated)California
Registered Investment Advisory firm - SEC (3/3/2013 Terminated)Colorado
Registered Investment Advisory firm - SEC (10/2/2012 Terminated)Connecticut
Registered Investment Advisory firm - SEC (10/15/2012 Terminated)Georgia
Registered Investment Advisory firm - SEC (9/26/2012 Terminated)Indiana
Registered Investment Advisory firm - SEC (9/26/2012 Terminated)Kentucky
Registered Investment Advisory firm - SEC (9/28/2012 Terminated)Louisiana
Registered Investment Advisory firm - SEC (10/2/2012 Terminated)Mississippi
Registered Investment Advisory firm - SEC (2/1/2013 Terminated)Missouri
Registered Investment Advisory firm - SEC (2/1/2013 Terminated)North Carolina
Registered Investment Advisory firm - SEC (2/11/2016 Terminated)Ohio
Registered Investment Advisory firm - SEC (2/12/2016 Terminated)South Carolina
Registered Investment Advisory firm - SEC (9/26/2012 Terminated)Tennessee
Registered Investment Advisory firm - SEC (10/26/2012 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(9/22/2022)
RR
Arizona(9/22/2022)
RR
California(9/22/2022)
RR
Colorado(9/22/2022)
RR
Florida(9/22/2022)
RR
Georgia(9/22/2022)
RR
Idaho(9/22/2022)
RR
Illinois(12/20/2023)
RR
Indiana(9/22/2022)
IAR
Indiana(9/22/2022)
RR
Massachusetts(9/23/2024)
RR
Nevada(9/22/2022)
RR
New Hampshire(9/22/2022)
RR
New Jersey(9/22/2022)
RR
New York(9/22/2022)
RR
North Carolina(9/22/2022)
RR
Ohio(9/22/2022)
RR
South Dakota(9/22/2022)
RR
Tennessee(9/23/2022)
RR
Texas(9/22/2022)
RR
Virginia(9/22/2022)
RR
Washington(10/20/2025)
RR
West Virginia(9/22/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SO
SILVER OAK SECURITIES, INCORPORATED
AMA FINANCIAL PARTNERS | ZOOK FINANCIAL | ZETTERGREN FINANCIAL GROUP | WINTEREGG AND ASSOCIATES | WILLIAM E. HOPKINS & ASSOCIATES, INC. | WICKER FINANCIAL GROUP | WEALTH COACH FINANCIAL | VISION401K LLC | VISION ASSET MANAGEMENT | TRUNORTH INVESTMENT MANAGEMENT | TRINITAS FINANCIAL PARTNERS | TALLGRASS WEALTH MANAGEMENT | STOLTZFUS FINANCIAL | SPIVEY FINANCIAL GROUP | SOUTHERN TRUST WEALTH MANAGEMENT | SOLID ROCK RETIREMENT STRATEGIES | SMART PLAN FINANCIAL | SILVER OAK SECURITIES, INCORPORATED | SILVER OAK SECURITIES, INC. | SILVER OAK SECURITIES INCORPORATED | SECURE RETIREMENT ADVISORS, LLC | SCHROCK FINANCIAL LLC | SCHMIDT WEALTH MANAGEMENT, LLC | RETIREMENT SECURITY GROUP | RAILEY FINANCIAL SERVICE | R. F. BISSER & ASSOCIATES FINANCIAL CONSULTANTS | PORTFOLIO IA | PLANNING LEGACIES FINANCIAL GROUP | PENSION PARTNERS | PEAK WEALTH ADVISORS | OLD TOWNE INVESTMENTS | NEW FINANCIAL CONCEPTS, INC. | MOSS WEALTH ADVISORS, LLC | MIDDLETON FINANCIAL | MEREDITH DEKKER FINANCIAL SERVICES LLC | MCKNIGHT ADVISORY GROUP, INC. | MAGNATE WEALTH | LOCKMUND FINANCIAL GROUP | LIFETIME FINANCIAL SOLUTIONS, INC. | LIFETIME FINANCIAL GROUP, INC. | LEON FINANCIAL GROUP | LEGACY GROUP PLANNING | LEDGEROCK ADVISORS, LLC | LAMON & WALLACE | L.P. FINANCIAL ADVISORS, INC. | JOHNSON BRUNNETTI | JOANNA SLADE, CLU®, CFP®, EA | JMS FINANCIAL SOLUTIONS, LLC | JAFFE WEALTH MANAGEMENT & CONSULTING INC. | INVITE WEALTH MANAGEMENT | HOLLIMAN GROUP | HEARN WEALTH MANAGEMENT | GRUCZ FINANCIAL | GARY W DORSEY AND ASSOCIATES | GARRISON INVESTMENT STRATEGIES | FOUNDATION FINANCIAL CONCEPTS, LLC | FORTUNE STRATEGIES LLC | FINANCIAL SERVICE ASSOCIATES | FINANCIAL RESOURCE ADVISORS | FAMILY WEALTH ADVISORY | F3 ADVISORS | EJC INSURANCE AND FINANCIAL | DREHER ADVISORY SERVICES | DEKKER FINANCIAL SERVICES | D & B ACCOUNTING & FINANCIAL GROUP, PLLC | CREECH WEALTH MANAGEMENT | CORNERSTONE FINANCIAL GROUP | CORAM DEO ADVISORS | COMPREHENSIVE FINANCIAL STRATEGIES, LLC | COKER WEALTH MANAGEMENT, LLC | CHANCERY FINANCIAL ADVISORS | CENTORBI FINANCIAL | CAROLINAS WEALTH MANAGEMENT | BROWN FINANCIAL SERVICES | BRICKEY WEALTH MANAGEMENT | BLAKE FINANCIAL | BLACK OAK ASSET MANAGEMENT | BIVEN FINANCIAL SERVICES | BIG ROCK WEALTH ADVISORS | BENNETT & BENNETT FINANCIAL, LLC | BENEFIT FINANCIAL SERVICES, LLC | BARONE FINANCIAL GROUP | B&H WEALTH | ASSET PLANNING SERVICES, INC. | ARMOR FINANCIAL, GROUP | ARBOR FINANCIAL ADVISORS | AMS FINANCIAL GROUP | AMERICAN CORNERSTONE GROUP, INC.
CRD#: 46947 / SEC#: 801-71178, 8-51601
RIA
Registered Investment Advisory firm - SEC (4/16/2010 Approved)Arkansas
Registered Investment Advisory firm - SEC (4/17/2014 Terminated)California
Registered Investment Advisory firm - SEC (3/3/2013 Terminated)Colorado
Registered Investment Advisory firm - SEC (10/2/2012 Terminated)Connecticut
Registered Investment Advisory firm - SEC (10/15/2012 Terminated)Georgia
Registered Investment Advisory firm - SEC (9/26/2012 Terminated)Indiana
Registered Investment Advisory firm - SEC (9/26/2012 Terminated)Kentucky
Registered Investment Advisory firm - SEC (9/28/2012 Terminated)Louisiana
Registered Investment Advisory firm - SEC (10/2/2012 Terminated)Mississippi
Registered Investment Advisory firm - SEC (2/1/2013 Terminated)Missouri
Registered Investment Advisory firm - SEC (2/1/2013 Terminated)North Carolina
Registered Investment Advisory firm - SEC (2/11/2016 Terminated)Ohio
Registered Investment Advisory firm - SEC (2/12/2016 Terminated)South Carolina
Registered Investment Advisory firm - SEC (9/26/2012 Terminated)Tennessee
Registered Investment Advisory firm - SEC (10/26/2012 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information
Main Address
403 N. Parkway Ste. 101, Jackson, TN 38305
Mailing Address
403 N. Parkway Ste 101, Jackson, TN 38305
Phone number
(731) 668-3825
Established
Tennessee since 01/27/1998
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
106
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HOPKINS, WILLIAM ELLISTON II | PRESIDENT, SECRETARY | 2582698 |
| ALLEN III, GEORGE THOMAS | FINOP, CHIEF FINANCIAL OFFICER | |
| WALLACE, ANDREW ROBERT | SHAREHOLDER | 4367954 |
| ROBERTS, WILLIAM MICHAEL | SHAREHOLDER | |
| SHOBE, JERRY DEAN | SHAREHOLDER | 1422209 |
| MELENDY, DAVID HUDSON | VICE PRESIDENT ADVISORY SERVICES | 5115364 |
| REUTHER, WILLIAM NOLAN | CHIEF COMPLIANCE OFFICER | 5539627 |
Regulatory assets under management
| Total Number of Accounts | 13,411 |
| AUM (Assets Under Management) | $ 2,028,010,263 |
Disclosures
| Regulatory Event | 6 |
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.
Company Information
SILVER OAK SECURITIES, INCORPORATED
CRD#: 46947Greenwood, IN 46143TRUST BUT VERIFY
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