Chase P. Withrow

MIGHTY OAK MANAGEMENT LLC

Marietta, GA

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CRD#: 470699

Professional summary

Chase Parker Withrow III, who also goes by Chase Parker Withrow, is a registered financial advisor currently at MIGHTY OAK MANAGEMENT LLC located in Marietta, Georgia.

Chase is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1970. Chase has worked at 13 firms and has passed the Series 65, Series 63, Series 000, Series 1, Series 24, Series 4, Series 8 and Series 12 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Chase Parker Withrow

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 Chase Parker Withrow III'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

February 23, 2024 - Present

MIGHTY OAK MANAGEMENT LLC

RIA

CRD#: 127645

Marietta, GA

Past

March 4, 2014 - December 31, 2021

TITAN ADVISORS

RIA

CRD#: 130313

CROFTON, MD

Past

February 3, 2005 - September 30, 2013

LEIGH BALDWIN & CO., LLC

CRD#: 38751

CROFTON, MD

Past

July 20, 2000 - January 26, 2005

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

Past

January 10, 1997 - June 21, 2000

SMH CAPITAL INVESTMENTS LLC

CRD#: 24535

FT. WORTH, TX

Past

April 19, 1990 - February 25, 1998

DOMINARI SECURITIES LLC

CRD#: 18975

NEW YORK, NY

Past

March 3, 1989 - April 12, 1990

JJC SECURITIES CO., INC.

CRD#: 3144

Past

September 4, 1986 - December 3, 1988

EVANS & CO., INC.

CRD#: 268

Past

April 14, 1978 - September 23, 1986

ADVEST, INC.

CRD#: 10

Past

June 18, 1975 - May 25, 1978

FITTIN, CUNNINGHAM & LAUZON, INC.

CRD#: 6866

Past

July 10, 1974 - July 1, 1975

KUHNS BROTHERS & LAIDLAW, INC.

CRD#: 1481

Past

March 20, 1973 - November 15, 1973

TOLL & CO INC

CRD#: 1000002

Past

February 17, 1970 - April 15, 1973

THOMSON MCKINNON SECURITIES INC.

CRD#: 829

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

Connecticut
(3/5/2024)

IAR

Georgia
(2/23/2024)

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

IAR

Series 65

Date: 2/27/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/7/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 000

Date: 8/26/1968

General Securities Principal Examination

General Industry/Product Exam

Series 1

Date: 8/26/1968

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/15/1990

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 5/31/1989

Registered Options Principal Examination

Principal/Supervisory Exam

Series 8

Date: 2/10/1983

General Securities Sales Supervisor Examination (Options Module & General Module)

Principal/Supervisory Exam

Series 12

Date: 4/26/1976

NYSE Branch Manager Examination

Current Firm

MIGHTY OAK MANAGEMENT LLC

CRD#: 127645 / SEC#:

Connecticut

Registered Investment Advisory firm - (6/11/2003 Approved)

Georgia

Registered Investment Advisory firm - (2/23/2024 Approved)

Massachusetts

Registered Investment Advisory firm - (8/16/2016 Approved)

New Mexico

Registered Investment Advisory firm - (7/11/2016 Approved)

New York

Registered Investment Advisory firm - (3/28/2017 Approved)

Texas

Registered Investment Advisory firm - (10/12/2016 Conditional Restricted)

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Contact information

Main Address

Easton, CT

Mailing Address

P.o. Box 56, Easton, CT 06612

Phone number

(203) 964-9300

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	60
AUM (Assets Under Management)	$ 12,000,000

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.

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Advisor Monitoring

Firm Stability Insights

Chase P. Withrow

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Chase Parker Withrow III's CRS (Customer Relationship Summary).

Certified licenses

Experience

TITAN ADVISORS

LEIGH BALDWIN & CO., LLC

RAYMOND JAMES FINANCIAL SERVICES, INC.

SMH CAPITAL INVESTMENTS LLC

DOMINARI SECURITIES LLC

JJC SECURITIES CO., INC.

EVANS & CO., INC.

ADVEST, INC.

FITTIN, CUNNINGHAM & LAUZON, INC.

KUHNS BROTHERS & LAIDLAW, INC.

TOLL & CO INC

THOMSON MCKINNON SECURITIES INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 2/27/2014

Series 63

Date: 10/7/1983

Series 000

Date: 8/26/1968

Series 1

Date: 8/26/1968

Series 24

Date: 1/15/1990

Series 4

Date: 5/31/1989

Series 8

Date: 2/10/1983

Series 12

Date: 4/26/1976

Current Firm

MIGHTY OAK MANAGEMENT LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

MIGHTY OAK MANAGEMENT LLC

TRUST BUT VERIFY

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