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Cooper Lee Brown

Investment Adviser Representative at OAKWORTH ASSET MANAGEMENT, LLC

Charlotte, NCCRD #7862089Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
States Registered
1 states
Exams Passed
3

Registrations & licenses

Registration type
Dual-registered
Registered in 1 states
North Carolina
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 5/28/2024
Series 7
General Securities Representative Examination
Passed 4/9/2024
SIE
Securities Industry Essentials Examination
Passed 11/3/2023

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Blended rate
0.0125
Asset tierAnnual rate
First $2,500,0001.25%
Next $2,500,0001.00%
Above $5,000,0000.75%
Fixed Income - First $2,500,0000.50%
Fixed Income - Above $2,500,0000.38%
Source

Oakworth Asset Management, LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

OAKWORTH ASSET MANAGEMENT, LLCCurrent
5/14/2026Charlotte, NC
ROCKEFELLER CAPITAL MANAGEMENT
5/29/20248/7/2024Winter Park, FL

Official records & sources

Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Cooper Lee Brown has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

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