Christopher G. Cook

MCCARLEY & COOK FINANCIAL PLANNERS

Cincinnati, OH 45243

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CRD#: 5714816

Professional summary

Christopher George Cook, CFP® is a registered financial advisor currently at MCCARLEY & COOK FINANCIAL PLANNERS located in Cincinnati, Ohio.

Christopher is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Christopher has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

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.

start date: 07/2025 - Director of By-The-Hand Foundation (family foundation) / 20545 Center Ridge Road, Rocky River, OH 44116 / serves in an advisory role for charitable giving and spends 5% of time on this activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher George Cook'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: 2014

Experience

Current

September 29, 2020 - Present

MCCARLEY & COOK FINANCIAL PLANNERS

Office #1: 6910 Miami Ave., Cincinnati, OH 45243

RIA

CRD#: 310087

Cincinnati, OH

Past

January 9, 2017 - October 19, 2020

COMMONWEALTH FINANCIAL NETWORK

RIA

CRD#: 8032

Cincinnati, OH

Past

January 9, 2017 - October 30, 2019

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

CINCINNATI, OH

Past

February 1, 2010 - January 9, 2017

HORAN SECURITIES, INC.

RIA

CRD#: 40794

CINCINNATI, OH

Past

September 30, 2009 - January 9, 2017

HORAN SECURITIES, INC.

CRD#: 40794

CINCINNATI, OH

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".

MCCARLEY & COOK FINANCIAL PLANNERS

MCCARLEY & COOK FINANCIAL PLANNER | MCCARLEY & COOK LLC | MCCARLEY & COOK FINANCIAL PLANNERS

CRD#: 310087 / SEC#: 801-125903

RIA

Registered Investment Advisory firm - (6/21/2022 Approved)

Ohio

Registered Investment Advisory firm - (6/23/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Ohio
(9/29/2020)

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: 8/26/2010

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/26/2010

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: 4/15/2013

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/29/2009

Investment Company Products/Variable Contracts Representative Examination

Current Firm

MCCARLEY & COOK FINANCIAL PLANNERS

MCCARLEY & COOK FINANCIAL PLANNER | MCCARLEY & COOK LLC | MCCARLEY & COOK FINANCIAL PLANNERS

CRD#: 310087 / SEC#: 801-125903

RIA

Registered Investment Advisory firm - (6/21/2022 Approved)

Ohio

Registered Investment Advisory firm - (6/23/2022 Terminated)

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Contact information

Main Address

6910 Miami Ave., Cincinnati, OH 45243

Mailing Address

Phone number

(513) 792-9990

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MCCARLEY & COOK ADV PART 2A & 2B ANNUAL AMENDMENT 03.07.25 (3/7/2025)

Regulatory assets under management

Total Number of Accounts	612
AUM (Assets Under Management)	$ 140,990,162

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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Christopher G. Cook

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher George Cook's CRS (Customer Relationship Summary).

Certified licenses

Experience

COMMONWEALTH FINANCIAL NETWORK

COMMONWEALTH FINANCIAL NETWORK

HORAN SECURITIES, INC.

HORAN SECURITIES, INC.

Primary Firm SEC Registration

MCCARLEY & COOK FINANCIAL PLANNERS

State Registrations and Notice Filings

Exams

Series 65

Date: 8/26/2010

Series 63

Date: 1/26/2010

SIE

Date: 10/1/2018

Series 7

Date: 4/15/2013

Series 6

Date: 9/29/2009

Current Firm

MCCARLEY & COOK FINANCIAL PLANNERS

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MCCARLEY & COOK FINANCIAL PLANNERS

TRUST BUT VERIFY

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