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RIA / WealthAdvisordual registered (broker-dealer)42 years in industry

MICHAEL EUGENE MOFFITT

Advisor at SILVER OAK SECURITIES, INC.

Creston, IA | West Des Moines, IA

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:39 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Oct 8, 1999 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: SILVER OAK SECURITIES, INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 1, 1984earliest registration or exam on IAPD
Years in industry: 42derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Aug 12, 1985
First registration: Oct 8, 1999
Dual registered: yes, broker-dealer
IAPD individual key: 1388379

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
SILVER OAK SECURITIES, INC.	Bd affiliated wealth	Oct 3, 2018	n/a	yes	West Des Moines, IA\|Creston, IA	Current employment
LPL FINANCIAL LLC	Bd affiliated wealth	Sep 18, 2012	Jul 29, 2014	no	CRESTON, IA\|WEST DES MOINES, IA\|CRESTON, IA\|SAN DIEGO, CA	Previous registration
ADVANTAGE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Jan 29, 2009	Oct 2, 2018	no	CRESTON, IA	Previous registration
NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)	Former SEC adviser	Jul 11, 2003	Jul 31, 2012	no	ATLANTIC, IA\|CRESTON, IA\|WEST DES MOINES, IA	Previous registration
CORNERSTONE FINANCIAL GROUP	n/a	Oct 8, 1999	Nov 16, 2010	no	CRESTON, IA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
ADVANTAGE INVESTMENT MANAGEMENT, LLC	LPL FINANCIAL LLC	Oct 2, 2018	Sep 18, 2012	-2,205	Firm change after gap	Other
LPL FINANCIAL LLC	SILVER OAK SECURITIES, INC.	Jul 29, 2014	Oct 3, 2018	1,527	Firm change after gap	Other
NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)	ADVANTAGE INVESTMENT MANAGEMENT, LLC	Jul 31, 2012	Jan 29, 2009	-1,279	Firm change after gap	Other
CORNERSTONE FINANCIAL GROUP	NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)	Nov 16, 2010	Jul 11, 2003	-2,685	Firm change after gap	Other

Relationships

Registered with (5)

→ SILVER OAK SECURITIES, INC.Registered adviserregistration: current employment
Oct 3, 2018 to presentfactForm ADV
→ ADVANTAGE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jan 29, 2009 to Oct 2, 2018factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Sep 18, 2012 to Jul 29, 2014factForm ADV
→ NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)Registered adviserregistration: previous registration
Jul 11, 2003 to Jul 31, 2012factForm ADV
→ CORNERSTONE FINANCIAL GROUPRegistered adviserregistration: previous registration
Oct 8, 1999 to Nov 16, 2010factForm ADV

Dated events

No dated event names this entity yet.