CB
Charles L. Brickey
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CRD#: 2106502
CB
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.
Charles Lee Brickey, who also goes by Charles Lee Brickey Sr, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1991. Charles had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Charles Lee Brickey Sr
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.
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®
NoneExperience
Past
August 31, 2011 - March 19, 2018
SILVER OAK SECURITIES, INCORPORATED
RIA
CRD#: 46947
MEMPHIS, TN
Past
May 2, 2011 - July 20, 2012
PEREGRINE DIVERSIFIED INVESTMENT SERVICES CORP.
RIA
CRD#: 155820
MEMPHIS, TN
Past
March 7, 2011 - March 16, 2018
SILVER OAK SECURITIES, INCORPORATED
BD
CRD#: 46947
MEMPHIS, TN
Past
November 22, 2010 - May 2, 2011
CONCORDIUS CAPITAL ADVISORS
RIA
CRD#: 142852
MEMPHIS, TN
Past
July 23, 2009 - November 5, 2010
BREWER INVESTMENT ADVISORS LLC
RIA
CRD#: 134631
CHICAGO, IL
Past
July 23, 2009 - November 5, 2010
BREWER FINANCIAL SERVICES, LLC
BD
CRD#: 132558
MEMPHIS, TN
Past
April 2, 2009 - August 4, 2009
OPPENHEIMER & CO. INC.
RIA
CRD#: 249
MEMPHIS, TN
Past
March 20, 2009 - August 4, 2009
OPPENHEIMER & CO. INC.
BD
CRD#: 249
MEMPHIS, TN
Past
September 8, 2006 - March 20, 2009
STANFORD GROUP COMPANY
RIA
CRD#: 39285
MEMPHIS, TN
Past
September 8, 2006 - March 20, 2009
STANFORD GROUP COMPANY
BD
CRD#: 39285
MEMPHIS, TN
Past
August 6, 2004 - September 11, 2006
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
MEMPHIS, TN
Past
August 6, 2004 - September 11, 2006
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
MEMPHIS, TN
Past
February 27, 2004 - August 9, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
GERMANTOWN, TN
Past
February 27, 2004 - August 9, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
July 12, 1999 - March 11, 2004
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
MEMPHIS, TN
Past
July 9, 1999 - March 11, 2004
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
June 13, 1994 - July 12, 1999
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
January 28, 1991 - June 7, 1994
J.J.B. HILLIARD, W.L. LYONS, LLC
BD
CRD#: 453
LOUISVILLE, KY
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.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
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.
