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KP

Kevin A. Price

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CRD#: 6366678
KP

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.

Kevin Anthony Price, who also goes by Kevin Anthony Price, Kevin Price, was a registered financial professional .

Kevin is a previously registered financial professional and started their career in finance in 2014. Kevin had worked at 4 firms and has passed the Series 65, Series 63, Series 79TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kevin Anthony Price | Kevin Price

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.
Southern Oak Management; Manager; Investment related: No; 1200 Corporate Dr Hoover AL 35242 United States; Southern Oak Management, LLC provides property management services for real estate assets that may be owned by an entity or individual related to Southern Oak Capital, LLC in addition to outside third-parties.; Duties: Management of company operations.; 2021-10-15; Hours per month devoted to business during trading hours: 3; Hours per month devoted to business outside trading hours: 10; Percentage of total yearly compensation expected to be derived from the business: 1; Southern Oak Holdings, LLC; Manager; Investment related: No; 1200 Corporate Dr Hoover AL 35242 United States; Southern Oak Holdings, LLC buys and sells single family homes.; Duties: Management of operations; 2023-05-15; Hours per month devoted to business during trading hours: 5; Hours per month devoted to business outside trading hours: 5; Percentage of total yearly compensation expected to be derived from the business: 1; WasteOps, LLC; CEO; Investment related: No; Location of the business- 1200 Corporate Dr Hoover AL 35242; Description of the business: WasteOps, LLC is a waste management company; Responsibilities Duties: Leadership of the company; Start date with business: 2024-08-05; Hours per month devoted to business during trading hours: 10; Hours per month devoted to business outside trading hours: 10; Percentage of total yearly compensation expected to be derived from the business: 1.

Blog Corner

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®
None

Experience

Past

April 7, 2021 - March 7, 2025

SOUTHERN OAK CAPITAL, LLC

RIA
CRD#: 309933
Birmingham, AL
Past

July 26, 2019 - November 13, 2020

WELLS FARGO SECURITIES, LLC

BD
CRD#: 126292
CHARLOTTE, NC
Past

September 29, 2016 - August 3, 2017

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

BD
CRD#: 28262
Tempe, AZ
Past

July 15, 2014 - May 8, 2015

NEXBANK SECURITIES INC

BD
CRD#: 133267
DALLAS, TX

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
IAR
Series 65
Date: 12/22/2020
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/22/2014
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 9/13/2019
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 8/3/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/15/2014
General Securities Representative Examination

Current Firm

SO
SOUTHERN OAK CAPITAL, LLC
SOUTHERN OAK CAPITAL, LLC

CRD#: 309933 / SEC#: 801-123321

RIA
Registered Investment Advisory firm - (8/21/2023 Terminated)
Alabama
Registered Investment Advisory firm - (3/7/2025 Terminated)
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Contact information

Main Address
One Perimeter Park South Suite 100 N, Birmingham, AL 35243
Mailing Address
Phone number
(504) 250-9902
Established
Firm type
Fiscal year end
# of Employees

Documents

Latest Form ADV

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.
SEC / JURISDICTIONREPORTING STATUSEFFECTIVE DATE
AlabamaERA - Active3/7/2025

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

SOUTHERN OAK CAPITAL, LLC

CRD#: 309933

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