AS
Alvin K. Smith
SILVER OAK SECURITIES
Brentwood, TN 37027
Some features on this profile are disabled
CRD#: 2274745
AS
Professional summary
Alvin Kenneth Smith II, who also goes by Al Smith, is a registered financial advisor currently at SILVER OAK SECURITIES, INCORPORATED located in Brentwood, Tennessee and VISION401K located in Brentwood, Tennessee.
Alvin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Alvin has 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"?
Yes
Aliases
Al Smith
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) VISION Asset MANAGEMENT, 205 POWELL PLACE, STE. 358, BRENTWOOD TN 37027. MANAGING PARTNER AND IAR. INVESTMENT SERVICE. 32 HOURS PLUS DURING TRADING HOURS. 20 HOURS DURING NON-TRADING HOURS. INVESTMENT RELATED: Vision401K is a TN registered D/B/A for Vision Asset Management 2) SILVER OAK SECURITIES, INC. REG REP AND IAR. INVESTMENT RELATED 3) Charles M. Moore Insurance, 1007 State Street, Bowling Street, Kentucky, Insurance Sales, Agent, Start date May 2018, 8 hours per month, 4 hours per month during trading hours, not investment related 4) Vision Financial LLC,Is Investment Related,"1600 Scottsville Road - Suite 200, , Bowling Green, KY, 42104, United States","Annuities, medicare, life insurance",Managing Partner,2/1/2024,150 hours per month,2 hours per month during trading hours,Commission Compensation,This is a continuation of our current business with Silver Oak. Vision Financial is primarily a marketing arm of Vison Asset Management and Vision 401k. All insurance business will still be executed through Silver Oaks insurance affiliations. We are trying to separately market our 401k and other investment related business.
CRS (Client Relationship Summary) - RIA
Click below to view Alvin Kenneth Smith II's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Alvin Kenneth Smith II'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
May 28, 2014 - Present
SILVER OAK SECURITIES, INCORPORATED
Office #1: 205 Powell Place Suite 358, Brentwood, TN 37027Office #2: 1600 Scottsville Road Suite 302, Bowling Green, KY 42103RIA
BD
CRD#: 46947
Brentwood, TN
Current
January 21, 2015 - Present
VISION401K
Office #1: 205 Powell Place Suite 357, Brentwood, TN 37027RIA
CRD#: 163765
Brentwood, TN
Current
May 30, 2014 - Present
SILVER OAK SECURITIES, INCORPORATED
Office #1: 205 Powell Place Suite 358, Brentwood, TN 37027Office #2: 1600 Scottsville Road Suite 302, Bowling Green, KY 42103RIA
BD
CRD#: 46947
Brentwood, TN
Past
March 30, 2010 - July 5, 2014
J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC
RIA
CRD#: 124446
BRENTWOOD, TN
Past
March 26, 2010 - June 5, 2014
J.P. TURNER & COMPANY, L.L.C.
BD
CRD#: 43177
Brentwood, TN
Past
April 23, 2007 - March 30, 2010
GUNNALLEN FINANCIAL, INC
RIA
CRD#: 17609
RUSSELLVILLE, KY
Past
April 23, 2007 - March 30, 2010
GUNNALLEN FINANCIAL, INC
BD
CRD#: 17609
RUSSELLVILLE, KY
Past
December 7, 2005 - May 11, 2007
INTL ADVISORY CONSULTANTS INC.
RIA
CRD#: 130888
BIRMINGHAM, AL
Past
May 14, 2004 - May 1, 2007
STONEX SECURITIES INC.
BD
CRD#: 18456
BRENTWOOD, TN
Past
May 6, 2003 - May 19, 2004
STEPHENS
RIA
CRD#: 3496
NASHVILLE , TN
Past
February 8, 2001 - May 19, 2004
STEPHENS
BD
CRD#: 3496
LITTLE ROCK, AR
Past
May 12, 1998 - March 2, 2001
MORGAN KEEGAN & COMPANY, LLC
BD
CRD#: 4161
MEMPHIS, TN
Past
May 21, 1996 - June 16, 1998
TRANS FINANCIAL INVESTMENT SERVICES, INC.
BD
CRD#: 36539
NASHVILLE, TN
Past
November 13, 1995 - May 20, 1996
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
ST. PETERSBURG, FL
Past
October 22, 1992 - March 30, 1995
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
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
California(7/30/2019)
RR
Colorado(9/21/2023)
RR
Florida(5/30/2014)
RR
Georgia(5/30/2014)
RR
Hawaii(11/17/2021)
RR
Indiana(11/17/2021)
IAR
Kentucky(5/28/2014)
RR
Kentucky(5/30/2014)
RR
Minnesota(1/29/2021)
RR
Montana(8/18/2023)
RR
New York(5/30/2014)
RR
North Carolina(3/22/2021)
RR
Ohio(8/5/2015)
IAR
Tennessee(6/2/2014)
RR
Tennessee(12/31/2015)
RR
Texas(6/20/2014)
IAR
Texas(5/9/2016)
RR
Washington(6/20/2014)
RR
Wisconsin(3/22/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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.
