Ron Moody

Oak Tree Financial Services, LLC

400 Bob Wallace Ave SW

Huntsville, AL 35801

256-704-9400

Home of the "Grow FORMula"

About Oak Tree Financial Services, LLC

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

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

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

Services

Investment Types

Alternative Investments, Exchange Traded Funds (ETFs), Stocks, Bonds, Options & Futures, Annuities, Insurance, Mutual Funds, Socially Responsible Investments (SRI)

Can meet clients in the following ways

Our Office, Phone, Your Office, Email, Video Conference

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

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

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

FinancialAdvisor.net provides referrals to financial professionals of LPL Financial, LLC (LPL). FinancialAdvisor.net is not a current client of LPL for brokerage or advisory services. Financial professionals of LPL pay FinancialAdvisor.net cash compensation for these referrals, which creates the incentive for FinancialAdvisor.net 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.