Robert C. Maund

OAKWORTH ASSET MANAGEMENT

Charlotte, NC 28210-3254

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CRD#: 2392827

Professional summary

Robert Charles Maund, CFP® is a registered financial advisor currently at OAKWORTH ASSET MANAGEMENT, LLC located in Charlotte, North Carolina.

Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Robert has worked at 8 firms and has passed the Series 63, Series 65, Series 7, Series 6, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Oakworth Capital Bank; Investment Related; At Reported Business Location; Bank; Wealth Team Lead; 05/2025; 160 hours/month, 160 hours/month during securities trading hours; Wealth Team Lead.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Charles Maund'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®

CFP^®

Certified Financial Planner

Start date: 1998

Experience

Current

July 1, 2025 - Present

OAKWORTH ASSET MANAGEMENT, LLC

Office #1: 6000 Fairview Road Suite 500, Charlotte, NC 28210-3254

RIA

CRD#: 335388

Charlotte, NC

Past

April 13, 2021 - February 1, 2022

BISON WEALTH, LLC

RIA

CRD#: 165931

Charlotee, NC

Past

June 10, 2009 - April 26, 2012

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

CHARLOTTE, NC

Past

March 31, 2009 - April 26, 2012

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

CHARLOTTE, NC

Past

May 16, 2005 - January 6, 2009

CALIBRE ADVISORY SERVICES, INC.

RIA

CRD#: 133333

CHARLOTTE, NC

Past

February 17, 2004 - January 4, 2005

RBC CAPITAL MARKETS, LLC

RIA

CRD#: 31194

CHARLOTTE, NC

Past

February 17, 2004 - January 4, 2005

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEW YORK, NY

Past

December 31, 2001 - February 13, 2004

JBS LIBERTY SECURITIES, INC.

RIA

CRD#: 36179

CHARLOTTE, NC

Past

June 6, 2000 - February 13, 2004

JBS LIBERTY SECURITIES, INC.

CRD#: 36179

KANNAPOLIS, NC

Past

September 15, 1999 - May 15, 2000

UVEST FINANCIAL SERVICES GROUP, INC.

CRD#: 13787

CHARLOTTE, NC

Past

September 21, 1993 - March 24, 1995

FIRST UNION BROKERAGE SERVICES, INC.

CRD#: 8112

CHARLOTTE, NC

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
(7/1/2025)

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

Series 63

Date: 7/21/2009

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 1/21/1999

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 6/9/2009

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/20/1993

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 10

Date: 12/12/2002

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 12/12/2002

General Securities Sales Supervisor - Options Module Examination

Current Firm

OAKWORTH ASSET MANAGEMENT, LLC

CRD#: 335388 / SEC#: 801-132789

RIA

Registered Investment Advisory firm - (7/1/2025 120-Day Approval)

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Contact information

Main Address

850 Shades Creek Parkway Suite 200, Birmingham, AL 35209

Mailing Address

Phone number

(205) 263-4700

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE FOR OAKWORTH ASSET MANAGEMENT, LLC (10/29/2025)

Regulatory assets under management

Total Number of Accounts	678
AUM (Assets Under Management)	$ 757,410,003

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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Advisor Monitoring

Firm Stability Insights

Robert C. Maund

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Charles Maund's CRS (Customer Relationship Summary).

Certified licenses

Experience

BISON WEALTH, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

CALIBRE ADVISORY SERVICES, INC.

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

JBS LIBERTY SECURITIES, INC.

JBS LIBERTY SECURITIES, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

FIRST UNION BROKERAGE SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/21/2009

Series 65

Date: 1/21/1999

Series 7

Date: 6/9/2009

Series 6

Date: 9/20/1993

Series 10

Date: 12/12/2002

Series 9

Date: 12/12/2002

Current Firm

OAKWORTH ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

OAKWORTH ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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