MM
Michael E. Moffitt
SILVER OAK SECURITIES
Creston, IA 50801
Some features on this profile are disabled
CRD#: 1388379
MM
Professional summary
Michael Eugene Moffitt, ChFC® is a registered financial advisor currently at SILVER OAK SECURITIES, INCORPORATED located in Creston, Iowa.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Michael has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 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. 07/31/2012: Cornerstone Financial Group - Not Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent. dba and marketing for advisory and securities business and Provide business planning/coaching to increase the value of businesses to prepare for an exit or transition event. 40 hours per month, 40 during trading hours. 2. Southcrest Farms LLC,Is Not Investment Related,"604 W. Adams St., PO Box 111, Creston, IA, 50801, United States",Farming,Farm owner/manager,1985-01-01,3 hours per month,0 hours per month during trading hours,Other Compensation,Farm rental income. Crop income. 3. Southcrest Farms LLC,Is Not Investment Related,"P.O. Box 111, 604 W. Adams St., Creston, IA, 50801, United States",Rental,Property owner,1/1/2003,5 hours per month,0 hours per month during trading hours,Other Compensation,"3 renters in building, pay monthly rent. " 4. Union County Development Assoc.,Is Not Investment Related,"301 W. Montgomery St., , Creston, IA, 50801, United States",Non-Profit,Volunteer/Past President,1/1/2000,1 hours per month,0 hours per month during trading hours,No Compensation Compensation,"Union County Development Association, Non-Profit-Board Member, Past President. Help with volunteer activities, attend other meetings locally to help encourage activities that promote economic development." 5). JUDITH A MOFFITT & MICHAEL E MOFFITT TTEES JUDITH A MOFFITT LIVING TRUST DTD 5/31/2011,Is Not Investment Related,,Fiduciary,Trustee,2011-05-31,1 hours per month,0 hours per month during trading hours,No Compensation Compensation,Judith A Moffitt (spouse) and Michael E Moffitt - self. Act as trustee/fiduciary. 6. 03/16/2021: CFG Legacy Planners LLC - Not Investment Related - 604 W. Adams St. Creston IA, 50801 United States - Provide business planning/coaching to increase the value of businesses to prepare for an exit or transition event. 5-10 hours per month, 5-10 during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Michael Eugene Moffitt's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael Eugene Moffitt'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®
Experience
Current
October 3, 2018 - Present
SILVER OAK SECURITIES, INCORPORATED
Office #1: 604 W. Adams Street, Creston, IA 50801Office #2: 5550 Wild Rose Ln Suite 400, West Des Moines, IA 50266RIA
BD
CRD#: 46947
Creston, IA
Current
October 2, 2018 - Present
SILVER OAK SECURITIES, INCORPORATED
Office #1: 604 W. Adams Street, Creston, IA 50801Office #2: 5550 Wild Rose Ln Suite 400, West Des Moines, IA 50266RIA
BD
CRD#: 46947
Creston, IA
Past
September 18, 2012 - July 29, 2014
LPL FINANCIAL LLC
RIA
CRD#: 6413
CRESTON, IA
Past
July 31, 2012 - October 9, 2018
LPL FINANCIAL LLC
BD
CRD#: 6413
CRESTON, IA
Past
January 29, 2009 - October 2, 2018
ADVANTAGE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 146236
CRESTON, IA
Past
July 11, 2003 - July 31, 2012
NATIONAL PLANNING CORPORATION
RIA
CRD#: 29604
CRESTON, IA
Past
June 12, 2003 - July 31, 2012
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
CRESTON, IA
Past
October 8, 1999 - November 16, 2010
CORNERSTONE FINANCIAL GROUP
RIA
CRD#: 117074
CRESTON, IA
Past
September 14, 1999 - June 19, 2003
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
EL SEGUNDO, CA
Past
May 19, 1992 - September 14, 1999
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
May 10, 1988 - May 19, 1992
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
BD
CRD#: 5774
Past
September 11, 1985 - May 25, 1988
WADDELL & REED
BD
CRD#: 866
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
Arkansas(1/12/2023)
RR
Colorado(10/2/2018)
RR
Florida(9/2/2022)
IAR
Iowa(10/3/2018)
RR
Iowa(10/10/2018)
RR
Kansas(10/2/2018)
RR
Minnesota(10/18/2018)
RR
Missouri(10/2/2018)
RR
Nebraska(4/5/2023)
RR
South Carolina(4/11/2023)
IAR
Texas(1/31/2021)
RR
Washington(9/20/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General 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.
