Greenville, SC Caledon Court Office
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Silver Oak Securities, Inc.
Multi-team
Firm-wide stats for Silver Oak Securities, Inc.
About
Silver Oak Securities, Inc. serves individuals (including high‑net‑worth clients), pension and profit‑sharing plans, corporations, trusts, estates and other business entities through a network of about 101 financial professionals and manages roughly $2.4 billion in discretionary assets. The firm offers a mix of advisory programs—Compass (financial professional‑directed portfolios), AdvisorFX (a UMA program using independent Strategists), Align Wealth Management (a comprehensive fixed‑fee service), financial planning, retirement plan consulting, referrals to third‑party managers, and a Pontera solution for held‑away participant accounts.
Investment management is primarily discretionary and tailored to client objectives and risk tolerances: Compass accounts are customized by a Financial Professional using individual securities, ETFs and mutual funds, while AdvisorFX implements Strategist models with SOSI acting as an overlay manager and using Orion/Advyzon trading and reporting infrastructure. The firm emphasizes operational features such as ongoing model monitoring and an automatic investment process that deploys qualifying cash or securities into the account’s selected model unless a client’s Financial Professional opts out within a short window.
Silver Oak’s dual registration as both a registered investment adviser and a broker‑dealer—with many Financial Professionals also acting as registered representatives and licensed insurance agents—is an uncommon attribute for an enterprise‑scale RIA and presents potential conflicts between fee‑based and commission business that the firm discloses and says it seeks to manage. The firm also discloses supervisory and regulatory history (including a 2025 FINRA Acceptance, Waiver & Consent related to supervisory deficiencies over consolidated reports) and operates distinctive platform arrangements (Orion Strategists versus Direct Strategists and the use of Pontera for held‑away accounts) that differentiate its advisor‑platform model from many peers.
Based on Silver Oak Securities, Inc.
Location
3 Caledon Court, Suite C
Greenville SC 29615
Advisors at this office
3
Advisors at this office
Thomas F
Series 63, Series 65
Greenville, SC
Silver Oak Securities, Inc.
Thomas Faircloth is a financial advisor affiliated with Silver Oak Securities, Inc. He holds Series 63 and Series 65 licenses and has 39 years of industry experience. His prior experience includes roles at Lincoln Financial Services Corp and Raymond James Financial. Outside of his advisory work, he is involved in selling life, accident, health insurance products, and fixed indexed annuities through Carolinas Wealth Management Group, Inc. Silver Oak Securities, Inc. serves individuals, pension and profit-sharing plans, corporations, trusts, estates, and other business entities through a network of over 100 financial professionals. The firm manages approximately $2.4 billion in discretionary assets and offers a range of advisory programs emphasizing tailored, primarily discretionary investment management aligned with client objectives and risk tolerances.
Homer F
Series 63, Series 66
Greenville, SC
Silver Oak Securities, Inc.
Homer Farr III is a financial advisor at Silver Oak Securities, Inc. with 34 years of industry experience. He holds Series 63 and Series 66 designations and has worked at several firms including Lincoln Financial Securities Corporation and SunTrust Advisory Services. In addition to his role at Silver Oak, he is involved with Carolinas Wealth Management as a financial advisor. Silver Oak Securities, Inc. serves individuals, pension and profit-sharing plans, corporations, trusts, estates, and other business entities through a network of approximately 101 financial professionals. The firm manages about $2.4 billion in discretionary assets and offers a range of advisory programs tailored to client objectives and risk tolerances, combining both discretionary investment management and operational features like automatic investment processes.
William H
Series 66
Greenville, SC
Silver Oak Securities, Inc.
William Holt Jr. is a financial advisor at Silver Oak Securities, Inc. with four years of industry experience. He holds a Series 66 designation and has worked previously at Lincoln Financial Securities Corporation and CWMG. Holt is also involved in fixed insurance product sales and owns a property and casualty insurance agency. Silver Oak Securities serves individuals, retirement plans, corporations, trusts, and other entities through a network of over 100 financial professionals. The firm offers discretionary investment management tailored to client objectives, utilizing various advisory programs and a technologically supported investment process.
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