James W. Knittle
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James William Knittle III, who also goes by James William Knittle, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1982. James had worked at 5 firms and has passed the Series 66, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 16, 2009 - January 21, 2022
TD AMERITRADE, INC.
January 16, 2009 - January 21, 2022
TD AMERITRADE, INC.
July 7, 2008 - December 16, 2008
INVEST FINANCIAL CORPORATION
January 26, 2007 - December 16, 2008
INVEST FINANCIAL CORPORATION
January 20, 1987 - July 11, 1990
SIGNATOR INVESTORS, INC.
May 22, 1984 - July 23, 1986
PRUCO SECURITIES, LLC.
May 24, 1982 - April 2, 1984
METROPOLITAN LIFE INSURANCE COMPANY
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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