RonMoody- Financial Advisor Huntsville, AL

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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

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

Number of Years with Current Firm

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

Businesses, Individual Investors

Advisory Services Provided

Risk Management, Education Funding and Planning, Financial Planning for Individuals, Financial Planning for Businesses, Money Management, Financial Advice & Consulting, Investment Advice & Management, Estate Planning & Trusts, Insurance Products & Annuities, Financial Planning, Portfolio Management, Retirement Planning, 401K Rollovers, Wealth Management

Compliance

Registered Investment Advisor

Registered Representative

Investment Advisor Representative

Acknowledged fiduciary

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 7, Series 8, Series 63, Series 65

Insurance and Annuity Licenses

Variable Life, Long Term Care, Variable Annuity, HMO, Life, Annuity, Disability

Firm Information

Advisor's Number of Clients

Advisor's Number of Managed Clients

Advisor's Number of Planning Clients

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, Based on Assets, Hourly, Flat Fee

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

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.

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Paladin Research Report For:

Ron Moody

Oak Tree Financial Services, LLC