Michael A. Knorr
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.
Michael Andrew Knorr, who also goes by Mike Knorr, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1982. Michael had worked at 13 firms and has passed the Series 66, Series 63, SIE, Series 7 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
June 23, 2010 - August 19, 2016
CHARLES SCHWAB & CO., INC.
September 12, 2005 - August 19, 2016
CHARLES SCHWAB & CO., INC.
April 11, 2003 - September 14, 2005
NATCITY INVESTMENTS, INC.
April 8, 2003 - September 14, 2005
NATCITY INVESTMENTS, INC.
March 26, 1999 - March 25, 2003
INVESTMENT PROFESSIONALS, INC.
January 9, 1997 - December 8, 1998
RAYMOND JAMES & ASSOCIATES, INC.
April 24, 1995 - January 8, 1997
WACHOVIA SECURITIES, INC.
April 25, 1989 - April 24, 1995
AMERICAN FRONTEER FINANCIAL CORPORATION
September 1, 1988 - December 7, 1988
UNDERWOOD, NEUHAUS & CO., INCORPORATED
December 17, 1987 - September 27, 1988
LM CONSOLIDATED FINANCIAL CORP.
March 23, 1987 - October 5, 1987
ROTAN MOSLE INC.
January 9, 1986 - April 1, 1987
UNDERWOOD, NEUHAUS & CO., INCORPORATED
December 11, 1984 - January 13, 1986
WILLIAM BLAIR
October 10, 1984 - January 10, 1985
PRUDENTIAL EQUITY GROUP, LLC
December 19, 1983 - April 9, 1981
UBS FINANCIAL SERVICES INC.
October 27, 1983 - August 20, 1984
UNDERWOOD, NEUHAUS & CO., INCORPORATED
July 22, 1982 - October 25, 1983
FIRST MID-AMERICA INC.
Primary Firm SEC Registration
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHWAB HOLDINGS, INC. | 100% OWNER | |
| BEATTY, JONATHAN SCOTT | DIRECTOR, MANAGING DIRECTOR AND HEAD OF ADVISOR SERVICES | 2429276 |
| CRAIG, JONATHAN M | PRESIDENT, DIRECTOR, MANAGING DIRECTOR AND HEAD OF INVESTOR SERVICES AND MARKETING | 4144656 |
| HATHI, NEESHA K | MANAGING DIRECTOR HEAD OF WEALTH & ADVICE SOLUTIONS | 2648997 |
| HOWARD, DENNIS WILLARD | MANAGING DIRECTOR AND CHIEF INFORMATION OFFICER | 6403083 |
| NICHOLS, CHARLES | MANAGING DIRECTOR AND BROKER DEALER & INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER | 4811434 |
| STARR, JEFFREY HAROLD | MANAGING DIRECTOR, AND OPERATIONAL SERVICES AND PRINCIPAL OPERATIONS OFFICER | 4700461 |
| VERDESCHI, MICHAEL DANIEL | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 4570777 |
Disclosures
| Regulatory Event | 58 |
| Civil Event | 3 |
| Arbitration | 248 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/24/2025 | ||
| 01/19/2024 | ||
| 04/14/2023 |
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.
