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Detailed Report
CHARLES RICHARD COOKE
CHARLIE COOKE
CRD#: 4061199
IA
Investment Adviser
B
Broker
ALLEGIANCE FINANCIAL GROUPCRD#: 313110 265 RACINE DRIVE
WILMINGTON, NC 28403
THE STRATEGIC FINANCIAL ALLIANCE, INC.CRD#: 126514 265 RACINE DRIVE
SUITE 204
WILMINTON, NC 28403
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2006 - 2010 (3 years)2 FIRMS2010 - 2015 (5 years)IAALLEGIANCE FINANCIAL GROUP (CRD# 313110)2021 - Present (3 years)BTHE STRATEGIC FINANCIAL ALLIAN... (CRD# 126514)2015 - Present (9 years)BSTERNE, AGEE & LEACH, INC. (CRD# 791)2005 - 2006 (1 year)BWACHOVIA CAPITAL MARKETS, LLC (CRD# 126292)2004 - 2005 (1 year)BCAPITAL INVESTMENT GROUP, INC. (CRD# 14752)2001 - 2002 (<1 year)BE*TRADE INSTITUTIONAL SECURITI... (CRD# 25025)2000 - 2001 (1 year)IAACORN FINANCIAL ADVISORY SERVI... (CRD# 116763)2015 - 2021 (5 years)
License(s)

State Registrations

B
California 1/12/2016
B
New Jersey 10/30/2015
B
Florida 10/30/2015
B
New York 10/30/2015
B
Georgia 7/14/2023
B
North Carolina 10/30/2015
B
Kentucky 5/4/2020
IA
North Carolina 9/3/2021
B
Maine 10/30/2015
B
South Carolina 10/30/2015
B
Maryland 1/3/2017
B
Virginia 10/30/2015
B
Mississippi 11/9/2018
IA
Virginia 1/24/2025

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
ALLEGIANCE FINANCIAL GROUP (CRD#:313110)
265 RACINE DRIVE, WILMINGTON, NC 28403
201 NORTH SPENCE AVENUE SUITE 407, GOLDSBORO, NC 27534
Registered with this firm since 9/3/2021
B
THE STRATEGIC FINANCIAL ALLIANCE, INC. (CRD#:126514)
265 RACINE DRIVE SUITE 204, WILMINTON, NC 28403
201 N. Spence Avenue, Suite 407, GOLDSBORO, NC 27534
Registered with this firm since 10/30/2015
Previous Registration(s)
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IA
 11/04/2015 - 10/07/2021 ACORN FINANCIAL ADVISORY SERVICES, INC. (CRD#:116763) Wilmington, NC
IA
 04/30/2010 - 11/04/2015 WOODBURY FINANCIAL SERVICES, INC. (CRD#:421) GOLDSBORO, NC
B
 04/30/2010 - 11/04/2015 WOODBURY FINANCIAL SERVICES, INC. (CRD#:421) GOLDSBORO, NC
IA
 07/18/2006 - 05/04/2010 NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY) (CRD#:29604) GOLDSBORO, NC
B
 07/10/2006 - 05/04/2010 NATIONAL PLANNING CORPORATION (CRD#:29604) GOLDSBORO, NC
B
 04/22/2005 - 07/07/2006 STERNE, AGEE & LEACH, INC. (CRD#:791) GOLDSBORO, NC
B
 01/12/2004 - 04/06/2005 WACHOVIA CAPITAL MARKETS, LLC (CRD#:126292) CHARLOTTE, NC
B
 09/04/2001 - 08/01/2002 CAPITAL INVESTMENT GROUP, INC. (CRD#:14752) RALEIGH, NC
B
 03/24/2000 - 05/15/2001 E*TRADE INSTITUTIONAL SECURITIES, INC. (CRD#:25025) JERSEY CITY, NJ
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.