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FK

Fred C. Knight

Some features on this profile are disabled
CRD#: 1093387
FK

Professional summary

Fred Cordery Knight JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Fred is a previously registered financial professional and started their career in finance in 1983. Prior to being barred, Fred had worked at 11 firms, which includes BIRCHTREE FINANCIAL SERVICES LLC, TEXAS CAPITAL SECURITIES INC., DICKINSON & CO., AMERICAN TRADING SECURITIES CORP., BOUCHER OEHMKE & COMPANY, DFW SECURITIES INC., ANDERSON BRYANT & CO., FIRST AFFILIATED SECURITIES INC., ROONEY PACE INC., LOWELL H. LISTROM & COMPANY INC., RAUSCHER PIERCE REFSNES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jr Fred Cordery Knight

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)

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

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

Past

September 1, 1994 - February 6, 1997

BIRCHTREE FINANCIAL SERVICES LLC

BD
CRD#: 15014
MINNEAPOLIS, MN
Past

January 3, 1994 - June 21, 1994

TEXAS CAPITAL SECURITIES, INC.

BD
CRD#: 25564
HOUSTON, TX
Past

June 24, 1992 - October 29, 1993

DICKINSON & CO.

BD
CRD#: 689
DES MOINES, IA
Past

August 28, 1990 - May 8, 1992

AMERICAN TRADING SECURITIES CORP.

BD
CRD#: 13221
OKLAHOMA CITY, OK
Past

February 5, 1990 - May 8, 1990

BOUCHER, OEHMKE & COMPANY

BD
CRD#: 17470
Past

January 4, 1990 - January 4, 1990

DFW SECURITIES, INC.

BD
CRD#: 23411
Past

August 3, 1985 - January 20, 1990

ANDERSON, BRYANT & CO.

BD
CRD#: 13185
Past

February 16, 1985 - August 2, 1985

FIRST AFFILIATED SECURITIES, INC.

BD
CRD#: 6871
Past

June 21, 1984 - January 31, 1985

ROONEY, PACE INC.

BD
CRD#: 6218
Past

August 12, 1983 - June 19, 1984

LOWELL H. LISTROM & COMPANY INC.

BD
CRD#: 6336
Past

July 19, 1983 - January 20, 1990

ANDERSON, BRYANT & CO.

BD
CRD#: 13185
Past

May 27, 1983 - August 9, 1983

RAUSCHER PIERCE REFSNES, INC.

BD
CRD#: 6663

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 6/24/1983
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 4/16/1983
General Securities Representative Examination

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
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Contact information

Main Address
Mailing Address
Phone number
Established
Oklahoma since 11/10/2011
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

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

Disclosures

Regulatory Event4
Arbitration1

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.

Company Information

BIRCHTREE FINANCIAL SERVICES LLC

CRD#: 15014

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