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Prasad S Oak

Prasad S. Oak

PROCYON
MOORESVILLE, NC
Some features on this profile are disabled
CRD#: 5518315
Prasad S Oak

Professional summary

Prasad S Oak, CFP®, who also goes by Prasad Sudhir Oak, Sanket Oak, Prasad Sanket Oak, is a registered financial advisor currently at PROCYON located in Mooresville, North Carolina.

Prasad is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Prasad has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Prasad Sudhir Oak | Sanket Oak | Prasad Sanket Oak

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 Prasad S Oak'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: 2019

Experience

Current

July 3, 2025 - Present

PROCYON

RIA
CRD#: 288239
MOORESVILLE, NC
Past

May 23, 2021 - July 16, 2025

WOOSTER CORTHELL WEALTH MANAGEMENT, INC.

RIA
CRD#: 112243
Moorseville, NC
Past

June 18, 2020 - January 12, 2021

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
Middlebury, CT
Past

March 5, 2020 - January 12, 2021

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
Middlebury, CT
Past

September 28, 2017 - February 14, 2020

ALLSTATE FINANCIAL SERVICES, LLC

BD
CRD#: 18272
Manchester, CT
Past

January 15, 2009 - August 23, 2017

EQUITABLE ADVISORS, LLC

RIA
CRD#: 6627
MILFORD, CT
Past

June 27, 2008 - August 23, 2017

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
MILFORD, CT

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".
PR
PROCYON
PROCYON | PROCYON TRUST | PROCYON PRIVATE WEALTH PARTNERS, LLC | PROCYON PRIVATE WEALTH PARTNERS LLC | PROCYON PARTNERS | PROCYON ADVISORS, LLC

CRD#: 288239 / SEC#: 801-110493

RIA
Registered Investment Advisory firm - (5/26/2017 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
(7/3/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/18/2008
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/26/2008
General Securities Representative Examination

Current Firm

PR
PROCYON
PROCYON | PROCYON TRUST | PROCYON PRIVATE WEALTH PARTNERS, LLC | PROCYON PRIVATE WEALTH PARTNERS LLC | PROCYON PARTNERS | PROCYON ADVISORS, LLC

CRD#: 288239 / SEC#: 801-110493

RIA
Registered Investment Advisory firm - (5/26/2017 Approved)
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Contact information

Main Address
1 Corporate Drive Suite 225, Shelton, CT 06484
Mailing Address
Phone number
(475) 232-2704
Established
Firm type
Fiscal year end
# of Employees
47

SEC notice filing (38 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

PROCYON DISCLOSURE BROCHURE (11/17/2025)

Regulatory assets under management

Total Number of Accounts5,638
AUM (Assets Under Management)$ 7,769,672,465

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

PROCYON

CRD#: 288239Mooresville, NC

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