Calvin G. Aubrey

BROADOAK ASSET MANAGEMENT

BETHESDA, MD 20814

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CRD#: 6646372

Professional summary

Calvin G Aubrey, who also goes by Calvin Gregory Aubrey, is a registered financial advisor currently at BROADOAK ASSET MANAGEMENT, LLC located in Bethesda, Maryland.

Calvin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Calvin has worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 79 exams.

At a Glance

Always Fiduciary

Aliases

Calvin Gregory Aubrey

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 Calvin G Aubrey'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

December 6, 2025 - Present

BROADOAK ASSET MANAGEMENT, LLC

Office #1: 4800 Montgomery Lane Suite 230, Bethesda, MD 20814

RIA

CRD#: 148901

BETHESDA, MD

Past

August 15, 2016 - February 23, 2021

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

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".

BROADOAK ASSET MANAGEMENT, LLC

BROADOAK ADVISORS | POINTOAK ADVISORS, LLC | POINTOAK ADVISORS | BROADOAK ASSET MANAGEMENT, LLC

CRD#: 148901 / SEC#: 801-121842

RIA

Registered Investment Advisory firm - (7/23/2021 Approved)

Maryland

Registered Investment Advisory firm - (12/1/2022 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

Maryland
(12/6/2025)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/6/2025

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/19/2016

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 79

Date: 8/15/2016

Investment Banking Registered Representative Examination

Current Firm

BROADOAK ASSET MANAGEMENT, LLC

BROADOAK ADVISORS | POINTOAK ADVISORS, LLC | POINTOAK ADVISORS | BROADOAK ASSET MANAGEMENT, LLC

CRD#: 148901 / SEC#: 801-121842

RIA

Registered Investment Advisory firm - (7/23/2021 Approved)

Maryland

Registered Investment Advisory firm - (12/1/2022 Terminated)

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Contact information

Main Address

4800 Montgomery Lane Suite 230, Bethesda, MD 20814

Mailing Address

Phone number

(301) 358-2692

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

BROADOAK ASSET MANAGEMENT, LLC. FIRM BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	12
AUM (Assets Under Management)	$ 595,432,691

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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Calvin G. Aubrey

Professional summary

At a Glance

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Calvin G Aubrey's CRS (Customer Relationship Summary).

Certified licenses

Experience

BROADOAK ASSET MANAGEMENT, LLC

J.P. MORGAN SECURITIES LLC

Primary Firm SEC Registration

BROADOAK ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/6/2025

Series 63

Date: 8/19/2016

SIE

Date: 10/1/2018

Series 79

Date: 8/15/2016

Current Firm

BROADOAK ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BROADOAK ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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