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Fred Cordery Knight Jr

CRD# 1093387·Registered 1983 - 1997
Barred: Fred Cordery Knight JR was barred by the FINRA and is not permitted to conduct business in the covered capacity.

Professional Summary

Fred Cordery Knight JR, who also goes by Jr Fred Cordery Knight, was a registered financial advisor. Fred was a previously registered financial professional and started their career in finance 1983 - 1997. Fred had worked at 11 firms and has passed the Series 63 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Jr Fred Cordery Knight

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

43 years in the financial services industry

Current & Past Employments

BIRCHTREE FINANCIAL SERVICES LLC·CRD# 15014
BD
Minneapolis, MN
September 1, 1994 - February 6, 1997
TEXAS CAPITAL SECURITIES, INC.·CRD# 25564
BD
Houston, TX
January 3, 1994 - June 21, 1994
DICKINSON & CO.·CRD# 689
BD
Des Moines, IA
June 24, 1992 - October 29, 1993
AMERICAN TRADING SECURITIES CORP.·CRD# 13221
BD
Oklahoma City, OK
August 28, 1990 - May 8, 1992
BOUCHER, OEHMKE & COMPANY·CRD# 17470
BD
February 5, 1990 - May 8, 1990
DFW SECURITIES, INC.·CRD# 23411
BD
January 4, 1990 - January 4, 1990
ANDERSON, BRYANT & CO.·CRD# 13185
BD
August 3, 1985 - January 20, 1990
FIRST AFFILIATED SECURITIES, INC.·CRD# 6871
BD
February 16, 1985 - August 2, 1985
ROONEY, PACE INC.·CRD# 6218
BD
June 21, 1984 - January 31, 1985
LOWELL H. LISTROM & COMPANY INC.·CRD# 6336
BD
August 12, 1983 - June 19, 1984
ANDERSON, BRYANT & CO.·CRD# 13185
BD
July 19, 1983 - January 20, 1990
RAUSCHER PIERCE REFSNES, INC.·CRD# 6663
BD
May 27, 1983 - August 9, 1983

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Current Firm

BF
BIRCHTREE FINANCIAL SERVICES LLC

ALL AMERICAN SECURITIES, INC. | BIRCHTREE FINANCIAL SERVICES, INC. | BIRCHTREE FINANCIAL SERVICES LLC

CRD#: 15014 / SEC#: 8-31632
BD
Terminated by SEC on 07/17/2012

Contact Information

Established

Oklahoma since 11/10/2011

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
MCGLADREY WEALTH MANAGEMENT LLCMEMBER111221
PHILLIPS, DALE STEVENPRESIDENT, CFO & DIRECTOR2080064
RIPPBERGER, THOMAS KENNETHCHIEF COMPLIANCE OFFICER & SECRETARY3131447

Disclosures

Regulatory Event

4

Arbitration

1

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jun 1983About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Apr 1983About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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