US Edition2022075505901 Silver Oak Securities, Inc. CRD 46947 AWC lp.pdf
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2022075505901 Silver Oak Securities, Inc. CRD 46947 AWC lp.pdf
From at least March 2021 to September 2022, Silver Oak's supervisory system, including written supervisory procedures, was not reasonably designed to supervise the use, dissemination, and preservation of consolidated reports. Between March 1, 2021, and March 31, 2022, the firm failed to timely review over 100 consolidated reports distributed by the firm's registered representatives during customer meetings. Additionally, Silver Oak's WSPs failed…
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