Charles W. Brown

CARY STREET PARTNERS

Roanoke, VA 24011

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CRD#: 2382672

Professional summary

Charles Whitney Brown, who also goes by Charles Whitney Brown Jr, Charles Whitney Jr Brown, is a registered financial advisor currently at CARY STREET PARTNERS located in Roanoke, Virginia.

Charles is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Charles has worked at 5 firms and has passed the Series 65, Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Charles Whitney Brown Jr | Charles Whitney Jr Brown

Other business activities

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.

City of Roanoke Pension Board of Trustees; investment-related; 215 Church Avenue, Roanoke, VA 24011; pension plan oversight board; Member; Start Date: 7/1/2022, non-trading hours. Virginia Shackelford Residual Trust,Is Investment Related,,private trust,co-trustee,2023-04-30,25 hours per month,0 hours per month during trading hours,Commission Compensation,Client Scott Shackelford has requested that I serve as co-trustee with him on a small trust.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Whitney Brown's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

July 21, 2022 - Present

CARY STREET PARTNERS

Office #1: 601 S. Jefferson Street Suite 410, Roanoke, VA 24011

RIA

CRD#: 128545

Roanoke, VA

Past

April 12, 1999 - August 22, 2022

DIXON, HUBARD, FEINOUR & BROWN, INC.

RIA

CRD#: 110777

ROANOKE, VA

Past

January 2, 1998 - April 15, 1999

INTERCAROLINA FINANCIAL SERVICES, INC.

CRD#: 19475

GREENSBORO, NC

Past

December 1, 1997 - February 2, 1998

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

August 24, 1993 - December 1, 1997

FORTH FINANCIAL SECURITIES, CORPORATION

CRD#: 14363

RICHMOND, VA

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".

CARY STREET PARTNERS

CARY STREET PARTNERS | WAYPOINT ADVISORS | VIKING WEALTH ADVISERS | CARY STREET PARTNERS INVESTMENT ADVISORY, LLC | CARY STREET PARTNERS INVESTMENT ADVISORY LLC

CRD#: 128545 / SEC#: 801-64239

RIA

Registered Investment Advisory firm - (8/12/2005 Approved)

Virginia

Registered Investment Advisory firm - (3/2/2007 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.

Highlighted states indicate IAR registrations

IAR

North Carolina
(7/21/2022)

IAR

Virginia
(8/22/2022)

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

State Security Law Exam

IAR

Series 65

Date: 4/9/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/23/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 8/23/1993

Investment Company Products/Variable Contracts Representative Examination

Current Firm

CARY STREET PARTNERS

CARY STREET PARTNERS | WAYPOINT ADVISORS | VIKING WEALTH ADVISERS | CARY STREET PARTNERS INVESTMENT ADVISORY, LLC | CARY STREET PARTNERS INVESTMENT ADVISORY LLC

CRD#: 128545 / SEC#: 801-64239

RIA

Registered Investment Advisory firm - (8/12/2005 Approved)

Virginia

Registered Investment Advisory firm - (3/2/2007 Terminated)

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Contact information

Main Address

901 East Byrd Street Suite 1001, Richmond, VA 23219

Mailing Address

Phone number

(804) 340-8100

Established

Firm type

Fiscal year end

# of Employees

166

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CSPIA FORM ADV PART 2A FIRM BROCHURE DATED 06/27/2025 (6/27/2025)

CSPIA FORM ADV PART 2A WRAP BROCHURE DATED 06/27/2025 (6/27/2025)

Regulatory assets under management

Total Number of Accounts	13,853
AUM (Assets Under Management)	$ 8,263,891,736

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/22/2024	Cover Page	Report
07/25/2023	Cover Page	Report
01/27/2023	Cover Page	Report

Red Flags

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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Firm Stability Insights

Charles W. Brown

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Whitney Brown's CRS (Customer Relationship Summary).

Certified licenses

Experience

DIXON, HUBARD, FEINOUR & BROWN, INC.

INTERCAROLINA FINANCIAL SERVICES, INC.

CAPITAL BROKERAGE CORPORATION

FORTH FINANCIAL SECURITIES, CORPORATION

Primary Firm SEC Registration

CARY STREET PARTNERS

State Registrations and Notice Filings

Exams

Series 65

Date: 4/9/1999

Series 63

Date: 8/23/1993

Series 6

Date: 8/23/1993

Current Firm

CARY STREET PARTNERS

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CARY STREET PARTNERS

TRUST BUT VERIFY

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