Ron Moody

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About Ron Moody

Ron Moody is the founder and Chief Investment Officer of Oak Tree Financial Services, LLC. Ron has been involved in the financial services industry since 1981. He graduated with a bachelor's degree from the University of Alabama. Ron holds the designations of CERTIFIED FINANCIAL PLANNER^® professional and Chartered Retirement Planning Counselor^® from the College of Financial Planning, Certified Senior Advisor^®, and is a member of the Financial Planning Association. Ron holds various securities registrations with LPL Financial including Series 63, 7 and 8; Series 65 held with Oak Tree Financial Services.

His extensive background and knowledge in the investment, estate and retirement planning fields help Ron to provide outstanding service to his clients. Because Ron is challenged by the financial market, he approaches his job enthusiastically. He has dedicated himself to long hours and staying up to date through continuing education courses. It is through this effort that Ron feels he can best serve the people he works for, his clients, and help them achieve the "work optional" lifestyle.

Ron's knowledge in the financial services arena has helped him to conduct numerous seminars and workshops on investments and estate planning. Through outstanding service and a commitment to excellence, Ron has built a solid client base and cares deeply for his clients' success.

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

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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:

Oak Tree Financial Services, LLC