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CD

Christopher Vincent Dodds

CROWN OAK ADVISORS

PIEDMONT, CA

·CRD# 1596630·39 years experience

Professional Summary

Christopher Vincent Dodds is a registered financial advisor currently at CROWN OAK ADVISORS located in Piedmont, California. Christopher is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Christopher has worked at 2 firms and has passed the Series 65, Series 63, Series 7 and Series 27 exams.

At a Glance

Always Fiduciary

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

What Are Financial Values and How to Align Them With Your Financial Goals

What Are Financial Values and How to Align Them With Your Financial Goals

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.

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Years of Experience

39 years in the financial services industry

Current & Past Employments

CROWN OAK ADVISORS·CRD# 309749

RIA

Piedmont, CA

August 17, 2020 - Present

CHARLES SCHWAB & CO., INC.·CRD# 5393

BD

San Francisco, CA

April 21, 1987 - August 6, 2007

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Current Firm

CO

CROWN OAK ADVISORS

CROWN OAK ADVISORS | CROWN OAK ADVISORS, LLC

CRD#: 309749 / SEC#: 801-128309

RIA

Registered Investment Advisory firm - SEC (7/12/2023 Approved)

California

Registered Investment Advisory firm - California (8/16/2023 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Contact Information

Main Address

Piedmont, CA

Phone Number

(510) 244-4685

# of Employees

2

SEC notice filing (3 States and Territories)

Registered to provide investment advisory services in 3 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE FOR CROWN OAK ADVISORS, LLC (2/10/2026)

Regulatory Assets Under Management

Total Number of Accounts

73

AUM (Assets Under Management)

$235,630,503

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

MR. DODDS SERVES ON THE BOARDS OF DIRECTORS FOR A VARIETY OF COMPANIES, INCLUDING THE CHARLES SCHWAB CORPORATION, AND CHARLES SCHWAB BANK. MR. DODDS ALSO IS A CONSULTANT/ADVISOR TO BARON CAPITAL GROUP AND THE CYNOSURE GROUP. The Charles Schwab Corporation (includes service with The Charles Schwab Bank); start date 10/23/2014; duties include: director, member of the Board of Directors, oversee affairs of the company; non-investment related; 15 hrs/month (all during market hours); San Francisco, CA. Baron Capital Group; start date 11/01/2014; nature of the other business: asset management; duties include: Advising the founder on business strategy, communications, and organization structure; investment related; 8 hrs/mo (all during market hours); New York, NY. The Cynosure Group; start date 09/01/2018; nature of the business: Private Equity; duties include: being a Senior Advisor, advising the firm's executives on firm strategy, organization structure, and communications and selectively advise on the business quality of private equity investment opportunities; investment related; 16 hrs/mo (all during market hours); Salt Lake City, UT.

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Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CO

CROWN OAK ADVISORS

CROWN OAK ADVISORS | CROWN OAK ADVISORS, LLC

CRD#: 309749 / SEC#: 801-128309

RIA

Registered Investment Advisory firm - SEC (7/12/2023 Approved)

California

Registered Investment Advisory firm - California (8/16/2023 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

IAR

California
(8/17/2020)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Aug 2020About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Jun 1987About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Apr 1987About the Series 7 exam

Series 27 — Financial and Operations Principal Examination

Passed Oct 1987About the Series 27 exam

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CRS (Client Relationship Summary) - RIA

Click below to view Christopher Vincent Dodds's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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