Cooper L. Brown

OAKWORTH ASSET MANAGEMENT

Charlotte, NC 28210

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CRD#: 7862089

Professional summary

Cooper Lee Brown is a registered financial advisor currently at OAKWORTH ASSET MANAGEMENT, LLC located in Charlotte, North Carolina.

Cooper is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2024. Cooper has worked at 2 firms and has passed the Series 66, Series 7TO and SIE 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cooper Lee Brown'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®

None

Experience

Current

May 14, 2026 - Present

OAKWORTH ASSET MANAGEMENT, LLC

Office #1: 6000 Fairview Rd, Charlotte, NC 28210

RIA

CRD#: 335388

Charlotte, NC

Past

May 29, 2024 - August 7, 2024

ROCKEFELLER FINANCIAL LLC

RIA

CRD#: 291361

WINTER PARK, FL

Past

April 9, 2024 - August 7, 2024

ROCKEFELLER FINANCIAL LLC

CRD#: 291361

WINTER PARK, FL

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".

OAKWORTH ASSET MANAGEMENT, LLC

CRD#: 335388 / SEC#: 801-132789

RIA

Registered Investment Advisory firm - (7/1/2025 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
(5/14/2026)

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 66

Date: 5/28/2024

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 4/9/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 11/3/2023

Securities Industry Essentials Examination

Current Firm

OAKWORTH ASSET MANAGEMENT, LLC

CRD#: 335388 / SEC#: 801-132789

RIA

Registered Investment Advisory firm - (7/1/2025 Approved)

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Contact information

Main Address

850 Shades Creek Parkway Suite 200, Birmingham, AL 35209

Mailing Address

Phone number

(205) 263-4700

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE FOR OAKWORTH ASSET MANAGEMENT, LLC (12/16/2025)

Regulatory assets under management

Total Number of Accounts	678
AUM (Assets Under Management)	$ 757,410,003

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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Cooper L. Brown

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cooper Lee Brown's CRS (Customer Relationship Summary).

Certified licenses

Experience

OAKWORTH ASSET MANAGEMENT, LLC

ROCKEFELLER FINANCIAL LLC

ROCKEFELLER FINANCIAL LLC

Primary Firm SEC Registration

OAKWORTH ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/28/2024

Series 7TO

Date: 4/9/2024

SIE

Date: 11/3/2023

Current Firm

OAKWORTH ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

OAKWORTH ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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