CC
CFP
CC
CFP

Charles Richard Cooke

23 Years of Experience
Broker
Areas of Practice
Investment ManagementRetirement PlanningEducation PlanningFinancial Planning & CoachingTax PlanningEstate PlanningHigh Net Worth
Compensation
Fee-Only (AUM)Fixed/Hourly
Firm Size
5 advisors
Number of Clients
583 clients
Average Client Portfolio
$866K average
Assets Under Management
$505.0M

Fee Structure

Minimum Investment:None
AUM-Based Fees (Tiered)
Assets Under ManagementAnnual Fee
Up to $1.0M1.50%
$1.0M - $5.0M1.25%
$5.0M - $10.0M0.80%
$10.0M - $20.0M0.70%
$20.0M - $50.0M0.60%
$50M+0.50%

Fees are negotiable. Legacy clients and friends and family of Adviser’s employees and associates may pay lower fees.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
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Location

265 Racine Drive, Wilmington, NC, 28403

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business Activities

Charles is a registered representative for The Strategic Financial Alliance, Inc. He is also the owner of Dental 401k, a marketing name for a 401k service, and spends a few hours per week on marketing services.

Employment History
Current Registrations
Allegiance Financial Group
September 2021 - Present · 4 yrs 5 mos
The Strategic Financial Alliance, INC.Broker
October 2015 - Present · 10 yrs 4 mos
Previous Registrations
Acorn Financial Advisory Services, INC.
November 2015 - October 2021 · 5 yrs 11 mos
Woodbury Financial Services, INC.Broker
April 2010 - November 2015 · 5 yrs 7 mos
Woodbury Financial Services, INC.
April 2010 - November 2015 · 5 yrs 7 mos
National Planning Corporation ("npc of America" in Fl & Ny)
July 2006 - May 2010 · 3 yrs 10 mos
National Planning CorporationBroker
July 2006 - May 2010 · 3 yrs 10 mos
Sterne, Agee & Leach, INC.Broker
April 2005 - July 2006 · 1 yr 3 mos
Wachovia Capital Markets, LLCBroker
January 2004 - April 2005 · 1 yr 3 mos
Capital Investment Group, INC.Broker
September 2001 - August 2002 · 11 mos
E*trade Institutional Securities, INC.Broker
March 2000 - May 2001 · 1 yr 2 mos
State Registrations12 states
CAFLGAKYMDMEMSNCNJNYSCVA
AdvisorBrokerBoth
Exams
No exam information available for this advisor.