Robert Maund has been an investment adviser representative at Oakworth Asset Management since July 2025, and is not listed among the firm’s executive officers or direct owners.
Oakworth Asset Management, LLC is a Birmingham, AL firm with $846M under management, 565 clients and 19 advisers across 4 offices, as of its March 2026 filing.
Robert Maund’s longest registration was 3 years at Calibre Advisory Services, Inc. (2005–2009). Before joining Oakworth Asset Management in 2025, Robert Maund was registered through Lakeview Capital Partners, LLC and Wells Fargo Advisors, LLC.
- – present · 1 yearCharlotte, NC · Adviser representative · Firm CRD 335388
- Lakeview Capital Partners, LLC– · under a yearCharlotee, NC · Adviser representative · Firm CRD 165931
- Wells Fargo Advisors, LLC– · 3 yearsCharlotte, NC · Adviser representative · Firm CRD 19616
- Calibre Advisory Services, Inc.– · 3 yearsCharlotte, NC · Adviser representative · Firm CRD 133333
- RBC Dain Rauscher Inc.– · under a yearCharlotte, NC · Adviser representative · Firm CRD 31194
- RBC Centura Securities Inc.– · 2 yearsCharlotte, NC · Adviser representative · Firm CRD 36179
Investment adviser representative registrations
Robert Maund is registered as an investment adviser representative in North Carolina, since July 2025.
- North CarolinaSince 1 July 2025
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 63 | Uniform Securities Agent State Law Examination | 21 July 2009 |
| Series 7 | General Securities Representative Examination | 9 June 2009 |
| Series 10 | General Securities Sales Supervisor - General Module Examination | 12 December 2002 |
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 12 December 2002 |
| Series 65 | Uniform Investment Adviser Law Examination | 21 January 1999 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 20 September 1993 |
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Robert Charles Maund
- CRD
- 2392827
- Firm
- Oakworth Asset Management · CRD 335388
- Office
- 6000 Fairview Road, Suite 125, Charlotte, NC 28210
- Registration
- Investment adviser registration
- In the industry since
- December 2014
- Disciplinary history
- Not yet shown here · SEC record
Where does Robert Maund work?
Robert Maund is an investment adviser representative registered through Oakworth Asset Management, LLC since July 2025, and is not listed among the firm’s executive officers or direct owners.
Is Robert Maund a financial advisor?
Yes. Robert Maund has a current investment-adviser registration in North Carolina, through Oakworth Asset Management since July 2025.
How many years of experience does Robert Maund have?
Robert Maund has 11 years in the financial industry, since December 2014, across 6 adviser firms.
What exams has Robert Maund passed?
Robert Maund has passed 6 licensing exams: the Series 6, Series 65, Series 10, Series 9, Series 7 and Series 63. The earliest, the Series 6, was passed in September 1993.
Where did Robert Maund work before Oakworth Asset Management?
Before Oakworth Asset Management, Robert Maund was registered through Lakeview Capital Partners, LLC, April 2021 to February 2022; Wells Fargo Advisors, LLC, March 2009 to April 2012; Calibre Advisory Services, Inc., May 2005 to January 2009; RBC Dain Rauscher Inc., February 2004 to January 2005; RBC Centura Securities Inc., December 2001 to February 2004.
Where is Robert Maund based?
Robert Maund’s registered office is in Charlotte, NC.
Is Robert Maund registered with FINRA?
No. Robert Maund has no current broker registration.
How can I verify Robert Maund’s record?
Search CRD 2392827 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Robert Maund’s full registration record.
