Greenwood, IN Office
TeamData sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
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
720 Executive Park Dr, Suite 1600
Greenwood IN 46143
Advisors at this office
2
Advisors at this office
Stacia J
Series 66
Greenwood, IN
Silver Oak Securities, Inc.
Stacia Jones is a financial advisor with Silver Oak Securities, Inc. based in Greenwood, IN, holding a Series 66 designation and seven years of industry experience. Her prior work includes roles at Securities America Advisors, Securities America, and Securities Service Network. Outside of her advisory work, she is the owner of becauseOne, an online platform aimed at helping nonprofits communicate their needs and connect with supporters. Silver Oak Securities, Inc. serves individuals, pension and profit-sharing plans, corporations, trusts, estates, and business entities through a multi-team structure of about 101 financial professionals managing approximately $2.4 billion in discretionary assets. The firm offers a range of advisory programs with primarily discretionary investment management tailored to client objectives and risk tolerances, supported by operational features like ongoing model monitoring and automatic investment processes.
Jon W
Series 63, Series 66
Greenwood, IN
Silver Oak Securities, Inc.
Jon Winteregg is a financial advisor with Silver Oak Securities, Inc., holding Series 63 and 66 licenses and bringing 41 years of industry experience. His prior roles include positions at Securities America Advisors, SSN Advisory, Concourse Financial Group Securities, and Langdon Shaw Associates. Outside of his advisory work, he consults for becauseOne, LLC, an online platform supporting nonprofit charitable organizations, and is involved in family trust and estate matters. Silver Oak Securities, Inc. serves individuals, including high-net-worth clients, as well as pension plans, corporations, trusts, and estates through a network of over 100 financial professionals. The firm offers a range of advisory programs focused primarily on discretionary investment management tailored to client objectives and risk tolerances, utilizing a combination of individual securities, ETFs, mutual funds, and strategist models.
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