AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
Robert Charles Maund

Robert C. Maund

OAKWORTH ASSET MANAGEMENT
Charlotte, NC 28210-3254
Some features on this profile are disabled
CRD#: 2392827
Robert Charles Maund

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.
The advisor shows no other business activity.

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

BD
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

BD
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.

BD
CRD#: 36179
KANNAPOLIS, NC
Past

September 15, 1999 - May 15, 2000

UVEST FINANCIAL SERVICES GROUP, INC.

BD
CRD#: 13787
CHARLOTTE, NC
Past

September 21, 1993 - March 24, 1995

FIRST UNION BROKERAGE SERVICES, INC.

BD
CRD#: 8112
CHARLOTTE, NC

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".
OA
OAKWORTH ASSET MANAGEMENT, LLC
OAKWORTH ASSET MANAGEMENT, LLC

CRD#: 335388 / SEC#: 801-132789

RIA
Registered Investment Advisory firm - (7/1/2025 Approved)

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)

Exams

State Security Law Exam
RR
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
RR
Series 7
Date: 6/9/2009
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 9/20/1993
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 12/12/2002
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 12/12/2002
General Securities Sales Supervisor - Options Module Examination

Current Firm

OA
OAKWORTH ASSET MANAGEMENT, LLC
OAKWORTH ASSET MANAGEMENT, LLC

CRD#: 335388 / SEC#: 801-132789

RIA
Registered Investment Advisory firm - (7/1/2025 Approved)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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
15

SEC notice filing (10 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE FOR OAKWORTH ASSET MANAGEMENT, LLC (12/16/2025)

Regulatory assets under management

Total Number of Accounts678
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.

Company Information

OAKWORTH ASSET MANAGEMENT, LLC

CRD#: 335388Charlotte, NC 28210-3254

TRUST BUT VERIFY

Monitor Robert Maund

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

David Blair Thompson
David ThompsonAdvisorCheck Check Mark
SPARTA WEALTH PARTNERS
IAR
RR
CHARLOTTE, NC
Andrew Michael Pasquale Digirolamo
Andrew DigirolamoAdvisorCheck Check Mark
PFS INVESTMENTS INC.
RR
Charlotte, NC
Jon Hoyle
Jon HoyleAdvisorCheck Check Mark
ZERO DAY CAPITAL ENTERPRISES LLC
PR
WEST POINT, NY
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.