CC
Christopher P. Compton
RED OAK FINANCIAL GROUP
Towson, MD 21204
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CRD#: 2946906
CC
Professional summary
Christopher Patrick Compton, CFP®, ChFC®, who also goes by Christopher Patrick Compton Mr., is a registered financial advisor currently at RED OAK FINANCIAL GROUP located in Towson, Maryland and LPL FINANCIAL LLC located in Towson, Maryland.
Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Christopher has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
What are your service offerings?
Retirement Planning
Comprehensive Financial Planni...
Insurance Planning
Tax Planning
Investment Planning
Employee and Employer Plan Ben...
Retirement Income Management
Are you a "fiduciary"?
Yes
Aliases
Christopher Patrick Compton Mr.
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.
1. 7/26/2019 - No business name - Investment related - At reported business location(s) - Notary Public - start date:07/24/2019 - 1 hr/mo - 1 hr during trading. 2. 10/14/2021 - Red Oak Financial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 01/03/2022 - 100 Hours Per Month/100 During Securities Trading. 3. 11/3/2021 - Red Oak Financial - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Started 01/03/2022 - 100 Hours Per Month During Securities Trading - Time Spent 63% - I provide investment advisory services through Red Oak Financial, an independent investment advisor firm. I started this business activity in 11/2021. I expect to spend approximately 100 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 4. 12/07/2021 - Red Oak Retirement (DBA for R.L. Compton & Associates, Inc.) - Investment Related - At Reported Business Location(s) - Third Party Administrator (TPA) - Principal-Owner & CEO - Start Date: 01/03/2022 - 40 Hours Per Month/40 Hours During Securities Trading. 5) 03/12/2025 - 403 Allegheny LLC - Investment Related - At Reported Business Location(s) - Real Estate Rental - Start Date:03/10/2025 - 3 Hrs/Mth - 3 Hrs During Trading.
CRS (Client Relationship Summary) - RIA
Click below to view Christopher Patrick Compton's 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®
Start date: 2001
Experience
Current
February 19, 2013 - Present
RED OAK FINANCIAL GROUP
Office #1: 403 Allegheny Avenue, Towson, MD 21204RIA
CRD#: 166912
Towson, MD
Current
June 17, 2005 - Present
LPL FINANCIAL LLC
Office #1: 403 Allegheny Ave, Towson, MD 21204-4214RIA
BD
CRD#: 6413
Towson, MD
Past
June 17, 2005 - November 2, 2015
LPL FINANCIAL LLC
RIA
CRD#: 6413
STREET, MD
Past
February 6, 2001 - June 22, 2005
OSAIC FA, INC.
RIA
CRD#: 3978
LUTHERVILLE, MD
Past
September 26, 1997 - June 22, 2005
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
September 26, 1997 - June 22, 2005
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
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".
RO
RED OAK FINANCIAL GROUP
COMPTON FINANCIAL GROUP | RED OAK RETIREMENT | RED OAK FINANCIAL GROUP | COMPTON FINANCIAL GROUP, LLC
CRD#: 166912 / SEC#: 801-80860
RIA
Registered Investment Advisory firm - (1/21/2015 Approved)Maryland
Registered Investment Advisory firm - (5/26/2015 Terminated)Texas
Registered Investment Advisory firm - (5/12/2015 Terminated)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(10/31/2014)
RR
California(6/17/2005)
RR
Colorado(1/23/2008)
RR
Delaware(6/17/2005)
RR
District of Columbia(6/6/2006)
RR
Florida(6/17/2005)
RR
Georgia(2/23/2021)
RR
Illinois(1/3/2008)
RR
Indiana(2/11/2025)
RR
Maryland(6/17/2005)
IAR
Maryland(4/12/2013)
RR
Massachusetts(6/17/2005)
RR
Minnesota(1/5/2022)
RR
New Jersey(6/7/2006)
RR
New York(3/5/2015)
RR
North Carolina(11/13/2007)
RR
Ohio(1/6/2020)
RR
Pennsylvania(6/17/2005)
RR
South Carolina(8/26/2008)
RR
Texas(9/2/2010)
IAR
Texas(2/19/2013)
RR
Virginia(6/17/2005)
RR
West Virginia(2/7/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
RO
RED OAK FINANCIAL GROUP
COMPTON FINANCIAL GROUP | RED OAK RETIREMENT | RED OAK FINANCIAL GROUP | COMPTON FINANCIAL GROUP, LLC
CRD#: 166912 / SEC#: 801-80860
RIA
Registered Investment Advisory firm - (1/21/2015 Approved)Maryland
Registered Investment Advisory firm - (5/26/2015 Terminated)Texas
Registered Investment Advisory firm - (5/12/2015 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
403 Allegheny Avenue, Towson, MD 21204
Mailing Address
Phone number
(410) 321-0168
Established
Firm type
Fiscal year end
# of Employees
20
SEC notice filing (11 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,700 |
| AUM (Assets Under Management) | $ 836,788,025 |
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.
