William C. Knorr

CASTLE PINES INVESTMENT MANAGEMENT LLC

BOULDER, CO

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CRD#: 1028055

Professional summary

William Carson Knorr, who also goes by Bill Knorr, is a registered financial advisor currently at CASTLE PINES INVESTMENT MANAGEMENT LLC located in Boulder, Colorado.

William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. William has worked at 7 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Bill Knorr

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 William Carson Knorr's 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

November 11, 2014 - Present

CASTLE PINES INVESTMENT MANAGEMENT LLC

RIA

CRD#: 113052

BOULDER, CO

Past

November 20, 2013 - July 1, 2014

WELLS FARGO SECURITIES, LLC

CRD#: 126292

DENVER, CO

Past

November 6, 2009 - November 20, 2013

WELLS FARGO SECURITIES, LLC

CRD#: 126292

DENVER, CO

Past

May 1, 1991 - November 6, 2009

WELLS FARGO BROKERAGE SERVICES, L.L.C.

CRD#: 16100

DENVER, CO

Past

January 7, 1991 - May 2, 1991

UBC INVESTMENT CORPORATION

CRD#: 24229

Past

October 25, 1989 - January 9, 1990

UBC INVESTMENT CORPORATION

CRD#: 24229

Past

December 23, 1986 - December 31, 1988

CETERA WEALTH SERVICES, LLC

CRD#: 13572

Past

May 17, 1984 - December 31, 1988

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EL SEGUNDO, CA

Past

May 27, 1982 - May 5, 1984

SYMON GROUP, LTD.

CRD#: 7355

Past

January 26, 1982 - February 17, 1982

OTC NET INCORPORATED

CRD#: 7756

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

Colorado
(11/11/2014)

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

Series 63

Date: 8/31/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/16/1982

General Securities Representative Examination

Current Firm

CASTLE PINES INVESTMENT MANAGEMENT LLC

CASTLE PINES INVESTMENT MANAGEMENT | OLIVER WILLIAM HICKEL, III | CASTLE PINES INVESTMENT MANAGEMENT LLC

CRD#: 113052 / SEC#:

California

Registered Investment Advisory firm - (12/17/2020 Terminated)

Colorado

Registered Investment Advisory firm - (3/21/2000 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Denver, CO

Mailing Address

Phone number

(303) 688-5612

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	66
AUM (Assets Under Management)	$ 69,726,000

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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William C. Knorr

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Carson Knorr's CRS (Customer Relationship Summary).

Certified licenses

Experience

CASTLE PINES INVESTMENT MANAGEMENT LLC

WELLS FARGO SECURITIES, LLC

WELLS FARGO SECURITIES, LLC

WELLS FARGO BROKERAGE SERVICES, L.L.C.

UBC INVESTMENT CORPORATION

UBC INVESTMENT CORPORATION

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

SYMON GROUP, LTD.

OTC NET INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 8/31/1982

Series 7

Date: 1/16/1982

Current Firm

CASTLE PINES INVESTMENT MANAGEMENT LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

CASTLE PINES INVESTMENT MANAGEMENT LLC

TRUST BUT VERIFY

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