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Christopher N. Brown

OAKE FINANCIAL LLC
Charlotte, NC
Some features on this profile are disabled
CRD#: 2958994
CB

Professional summary

Christopher Nelson Brown is a registered financial advisor currently at OAKE FINANCIAL LLC located in Charlotte, North Carolina.

Christopher is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Christopher has worked at 4 firms and has passed the Series 63, SIE, Series 16 and Series 7 exams.

top-8-questions

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 Christopher Nelson Brown'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®
None

Experience

Current

November 5, 2021 - Present

OAKE FINANCIAL LLC

RIA
CRD#: 316992
Charlotte, NC
Past

September 11, 2017 - September 15, 2021

LAUREL WEALTH ADVISORS, LLC

RIA
CRD#: 118469
CHARLOTTE, NC
Past

November 1, 2010 - March 30, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
CHARLOTTE, NC
Past

April 9, 2008 - November 1, 2010

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
CHARLOTTE, NC
Past

October 9, 1997 - February 25, 2008

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
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
(11/5/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 12/3/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 3/30/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 16
Date: 5/18/2001
NYSE Supervisory Analyst Examination
General Industry/Product Exam
RR
Series 7
Date: 11/20/1997
General Securities Representative Examination

Current Firm

OF
OAKE FINANCIAL LLC
OAKE FINANCIAL | OAKE FINANCIAL LLC

CRD#: 316992 / SEC#:

North Carolina
Registered Investment Advisory firm - (10/29/2021 Approved)
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Contact information

Main Address
Charlotte, NC
Mailing Address
Phone number
(704) 252-0275
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts26
AUM (Assets Under Management)$ 37,000,000

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

OAKE FINANCIAL LLC

CRD#: 316992Charlotte, NC

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