Menu
Menu
Ron + Moody - Financial Advisor in Huntsville, AL

Paladin Research Report For:

Ron Moody

Oak Tree Financial Services, LLC

CSA® CRPC® CFP®
400 Bob Wallace Ave SW
Huntsville, AL 35801
256-704-9400
Visit Website
https://www.oaktreefinancialservices.com/

About Ron Moody

Founded in 2009, Oak Tree Financial Services, LLC has a combined 80+ years of financial service experience across 4 different advisors. Securities are offered through LPL Financial, LLC, an SEC registered investment adviser and member FINRA/SIPC broker/dealer. This allows Oak Tree to maintain the "small town" look and feel, while still being backed by the support and technology of a Fortune 500 company. Our goal at Oak Tree is not to see how large we can become, but how small we can remain so that we build long term relationships and you receive the individual service that you deserve and expect.

See Disclosures

General Information

Firm Start Year
  • 2009
No. of Employees
  • 5-9
CRD#
  • 1002081
Firm CRD#
  • 6413
Insurance License#
  • 47555
Name of Broker/Dealer
  • LPL Financial, LLC
Name of Custodial Firm
  • LPL Financial, LLC
States Licensed in
  • AL, CA, CT, FL, GA, KY, MD, MI, MN, MO, MS, NC, NE, NY, OH, PA, SD, TN, TX, VA
Years of Experience in Financial Services
  • 41
Number of Years with Current Firm
  • 13
Work Experience
  • Merrill Lynch: 1981 - 1989 Prudential Securities Inc: 1989 - 1994 Legg Mason Wood Walker, Inc: 1994 - 2006 CitiGroup Global Markets, Inc: 2006 - 2009 Wells Fargo Advisors Financial Network, LLC: 2009 - 2011 LPL Financial LLC, Registered Rep and Investment Adviser Rep: 2011 - Present Oak Tree Financial Services, LLC, Managing Principal and Investment Adviser Rep: 2009 - Present
Work with the following types of clients
  • Individual Investors, Businesses
Advisory Services Provided
  • Financial Planning, Insurance Products & Annuities, Estate Planning & Trusts, Investment Advice & Management, Financial Advice & Consulting, Education Funding and Planning, Financial Planning for Individuals, Financial Planning for Businesses, Portfolio Management, Retirement Planning, 401K Rollovers, Risk Management, Money Management, Wealth Management

Compliance

Registered Investment Advisor
  • Yes
Registered Representative
  • Yes
Investment Advisor Representative
  • Yes
Acknowledged fiduciary
  • Yes
Compliance Disclosures in Last 5 years
  • I have a clean record
Criminal Disclosures in Last 5 years
  • I have a clean record

Qualifications & Membership

Certifications, Accreditations & Designations
  • CFP®, CRPC®, CSA®
Securities Licenses
  • Series 65, Series 63, Series 8, Series 7
Insurance and Annuity Licenses
  • Variable Life, Long Term Care, Variable Annuity, HMO, Life, Annuity, Disability

Firm Information

Advisor's Number of Clients
  • 254
Advisor's Number of Managed Clients
  • 183
Advisor's Number of Planning Clients
  • 68
Assets Managed by Advisor
  • $110,000,000

Compensation and Fees

Fee Structure
  • Fee-Based
Minimum Portfolio Size for New Managed Accounts
  • $100,000
Compensation Methods
  • Commissions, Flat Fee, Hourly, Based on Assets
Fee % Based on Assets
  • Variable
Hourly Rate
  • $75 - $250
Additional Details on Charges
  • For Advisory Accounts (aggregated): 1.25% for $0 - $250,000 0.85% for $250,001 - $1,000,000 0.75% for $1,000,001 - $2,000,000 0.65% for $2,000,001 - $3,000,000 Negotiated for account values $3,000,000+
Minimum Fee Charged for Hourly Planning Accounts
  • $75

Education

Bachelor of Science - Biology
  • University of Alabama
    1971 - 1975

Disclosures

https://www.oaktreefinancialservices.com/regulatory-documents


PaladinRegistry.com provides referrals to financial professionals of LPL Financial, LLC (LPL). PaladinRegistry.com is not a current client of LPL for brokerage or advisory services. Financial professionals of LPL pay PaladinRegistry.com cash compensation for these referrals, which creates the incentive for PaladinRegistry.com to make these referrals, resulting in a conflict of interest.


LPL ADV 2A

https://www.lpl.com/content/dam/lpl-www/documents/disclosures/A58.pdf

Additional Detailed Disclosures

https://www.lpl.com/content/dam/lpl-www/documents/disclosures/wiseradvisor/wiseradvisor-lpl-detailed-disclosures.pdf

Disclaimer

Securities offered through LPL Financial, member FINRA/SIPC. Investment Advice offered through Oak Tree Financial Services, a registered investment advisor and separate entity from LPL Financial.

BASIC INFORMATION NEEDED FOR THE INQUIRY

Paladin Advisors

PaladinRegistry is a wholly-owned brand of the Respond.com Inc. ("Respond") family. Respond is registered with the U.S. Securities and Exchange Commission as an investment adviser, and operates through various subsidiaries and brands that provide financial education. PaladinRegistry matches and refers investors to qualified financial professionals that have elected to participate in our matching platform. PaladinRegistry, Respond, and Respond's other subsidiaries and brands do not manage investor assets or otherwise render investment or financial planning advice beyond the referral of investors to qualified financial professionals. By using this website, you agree to our terms and conditions.

Connect with us

  • Office Address
    12150 Monument Drive, Suite 700
    Fairfax, VA, 22033
  • Telephones
    Tel: 703-651-2060
    Fax: 703-259-4487
  • Social Networks

Learn More

Copyright 2023 Paladin Registry. All rights reserved.