Lori M. Barone
SILVER OAK SECURITIES
BURR RIDGE, IL 60527
Some features on this profile are disabled
CRD#: 2988502
Professional summary
Lori Marceil Barone, CFP®, who also goes by Lori Gervais, is a registered financial advisor currently at SILVER OAK SECURITIES, INCORPORATED located in Burr Ridge, Illinois.
Lori is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Lori has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Lori Gervais
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. "Barone Financial Group, Inc", Is Investment Related,"7512 S County Line Rd, Ste 1, Burr Ridge, IL, 60527, United States", Independent Financial Professional, Financial Professional,1/5/1997,160 hours per month,120 hours per month during trading hours, Commission Compensation, DBA for independent financial professional and fixed insurance sales 2. LORI BARONE - IAR FOR OSAIC POSITION: Investment Advisor & financial planner NATURE: Investment Advisor Representative INVESTMENT RELATED: Yes NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 100 START DATE: 01/06/1998 ADDRESS: 7512 S. County Line Road, Ste 1, Burr Ridge IL 60527, United States DESCRIPTION: Investment Advice, offer investment advisory models, prepare financial plans using the financial planning process
CRS (Client Relationship Summary) - RIA
Click below to view Lori Marceil Barone's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Lori Marceil Barone'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®
CFP®
Start date: 2002
Experience
Current
October 28, 2025 - Present
SILVER OAK SECURITIES, INCORPORATED
Office #1: 7512 S County Line Rd Suite 1, Burr Ridge, IL 60527RIA
BD
CRD#: 46947
BURR RIDGE, IL
Current
October 28, 2025 - Present
SILVER OAK SECURITIES, INCORPORATED
Office #1: 7512 S County Line Rd Suite 1, Burr Ridge, IL 60527RIA
BD
CRD#: 46947
BURR RIDGE, IL
Past
June 14, 2024 - November 12, 2025
OSAIC WEALTH, INC.
RIA
CRD#: 23131
BURR RIDGE, IL
Past
June 14, 2024 - November 12, 2025
OSAIC WEALTH, INC.
BD
CRD#: 23131
BURR RIDGE, IL
Past
September 18, 2020 - June 14, 2024
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
BURR RIDGE, IL
Past
September 18, 2020 - June 14, 2024
SECURITIES AMERICA, INC.
BD
CRD#: 10205
BURR RIDGE, IL
Past
November 19, 2013 - November 20, 2013
HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS
RIA
CRD#: 169045
BURR RIDGE, IL
Past
October 28, 2013 - September 18, 2020
SSN ADVISORY, INC.
RIA
CRD#: 126090
BURR RIDGE, IL
Past
January 6, 2010 - November 20, 2013
HOUSEHOLDER GROUP FINANCIAL ADVISORS, LLC
RIA
CRD#: 149564
BURR RIDGE, IL
Past
January 6, 2010 - September 18, 2020
SECURITIES SERVICE NETWORK, LLC
BD
CRD#: 13318
BURR RIDGE, IL
Past
October 31, 2008 - January 7, 2010
OSAIC SERVICES, INC.
RIA
CRD#: 133763
OAK LAWN, IL
Past
October 31, 2008 - January 7, 2010
OSAIC SERVICES, INC.
BD
CRD#: 133763
OAK LAWN, IL
Past
July 29, 2003 - October 31, 2008
AMERICAN GENERAL SECURITIES INCORPORATED
RIA
CRD#: 13626
OAK LAWN, IL
Past
October 1, 2002 - October 31, 2008
AMERICAN GENERAL SECURITIES INCORPORATED
BD
CRD#: 13626
OAK LAWN, IL
Past
January 7, 1998 - October 1, 2002
AMERICAN GENERAL EQUITY SERVICES CORPORATION
BD
CRD#: 5435
HOUSTON, TX
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
Arizona(10/28/2025)
RR
Colorado(10/28/2025)
RR
Florida(10/28/2025)
RR
Georgia(10/28/2025)
RR
Hawaii(10/28/2025)
RR
Illinois(10/28/2025)
IAR
Illinois(10/28/2025)
RR
Indiana(10/28/2025)
RR
Louisiana(10/28/2025)
IAR
Louisiana(10/29/2025)
RR
Michigan(10/28/2025)
RR
Missouri(10/28/2025)
RR
New Mexico(10/28/2025)
RR
Ohio(10/28/2025)
RR
Tennessee(10/29/2025)
RR
Texas(10/28/2025)
IAR
Texas(10/28/2025)
RR
Washington(10/28/2025)
RR
Wisconsin(10/28/2025)
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.
