Charles R. Cooke

ALLEGIANCE FINANCIAL GROUP

GOLDSBORO, NC 27534

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CRD#: 4061199

Professional summary

Charles Richard Cooke, CFP®, who also goes by Charlie Cooke, is a registered financial advisor currently at ALLEGIANCE FINANCIAL GROUP located in Goldsboro, North Carolina and THE STRATEGIC FINANCIAL ALLIANCE, INC. located in Wilmington, North Carolina.

Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Charles has worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Charlie Cooke

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 Charles Richard Cooke'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: 2010

Experience

Current

September 3, 2021 - Present

ALLEGIANCE FINANCIAL GROUP

Office #1: 201 North Spence Avenue Suite 407, Goldsboro, NC 27534Office #2: 1721 Allens Lane Suite 103, Wilmington, NC 28403

RIA

CRD#: 313110

GOLDSBORO, NC

Current

October 30, 2015 - Present

THE STRATEGIC FINANCIAL ALLIANCE, INC.

Office #1: 1721 Allens Lane Suite 103, Wilmington, NC 28403

RIA

CRD#: 126514

WILMINGTON, NC

Past

November 4, 2015 - October 7, 2021

ACORN FINANCIAL ADVISORY SERVICES, INC.

RIA

CRD#: 116763

Wilmington, NC

Past

April 30, 2010 - November 4, 2015

WOODBURY FINANCIAL SERVICES, INC.

RIA

CRD#: 421

GOLDSBORO, NC

Past

April 30, 2010 - November 4, 2015

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

GOLDSBORO, NC

Past

July 18, 2006 - May 4, 2010

NATIONAL PLANNING CORPORATION

RIA

CRD#: 29604

GOLDSBORO, NC

Past

July 10, 2006 - May 4, 2010

NATIONAL PLANNING CORPORATION

CRD#: 29604

GOLDSBORO, NC

Past

April 22, 2005 - July 7, 2006

STERNE, AGEE & LEACH, INC.

CRD#: 791

GOLDSBORO, NC

Past

January 12, 2004 - April 6, 2005

WELLS FARGO SECURITIES, LLC

CRD#: 126292

CHARLOTTE, NC

Past

September 4, 2001 - August 1, 2002

CAPITAL INVESTMENT GROUP, INC.

CRD#: 14752

RALEIGH, NC

Past

March 24, 2000 - May 15, 2001

E*TRADE CLEARING LLC

CRD#: 25025

JERSEY CITY, NJ

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".

ALLEGIANCE FINANCIAL GROUP

ALLEGIANCE FINANCIAL GROUP | COOKE CAPITAL | ALLEGIANCE FINANCIAL GROUP ADVISORY SERVICES LLC

CRD#: 313110 / SEC#: 801-122267

RIA

Registered Investment Advisory firm - (9/3/2021 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.

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

California
(1/12/2016)

Florida
(10/30/2015)

Georgia
(7/14/2023)

Kentucky
(5/4/2020)

Maine
(10/30/2015)

Maryland
(1/3/2017)

Mississippi
(11/9/2018)

New Jersey
(10/30/2015)

New York
(10/30/2015)

North Carolina
(10/30/2015)

IAR

North Carolina
(9/3/2021)

Ohio
(1/8/2026)

South Carolina
(10/30/2015)

Virginia
(10/30/2015)

IAR

Virginia
(1/24/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/14/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/1/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/8/2000

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

ALLEGIANCE FINANCIAL GROUP

ALLEGIANCE FINANCIAL GROUP | COOKE CAPITAL | ALLEGIANCE FINANCIAL GROUP ADVISORY SERVICES LLC

CRD#: 313110 / SEC#: 801-122267

RIA

Registered Investment Advisory firm - (9/3/2021 Approved)

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Contact information

Main Address

374 Maple Avenue East Suite 204, Vienna, VA 22180

Mailing Address

Phone number

(703) 242-7900

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ALLEGIANCE FINANCIAL GROUP ADVISORY SERVICES ADV PART 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	1,410
AUM (Assets Under Management)	$ 505,014,157

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

Charles R. Cooke

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Richard Cooke's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALLEGIANCE FINANCIAL GROUP

THE STRATEGIC FINANCIAL ALLIANCE, INC.

ACORN FINANCIAL ADVISORY SERVICES, INC.

WOODBURY FINANCIAL SERVICES, INC.

WOODBURY FINANCIAL SERVICES, INC.

NATIONAL PLANNING CORPORATION

NATIONAL PLANNING CORPORATION

STERNE, AGEE & LEACH, INC.

WELLS FARGO SECURITIES, LLC

CAPITAL INVESTMENT GROUP, INC.

E*TRADE CLEARING LLC

Primary Firm SEC Registration

ALLEGIANCE FINANCIAL GROUP

State Registrations and Notice Filings

Exams

Series 65

Date: 7/14/2006

Series 63

Date: 3/1/2002

SIE

Date: 10/1/2018

Series 7

Date: 3/8/2000

FINRA

Current Firm

ALLEGIANCE FINANCIAL GROUP

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALLEGIANCE FINANCIAL GROUP

TRUST BUT VERIFY

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