Mark D. Knott
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.
Mark Douglas Knott was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1983. Mark had worked at 7 firms and has passed the Series 63, Series 7, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 30, 2009 - December 21, 2010
RETIREMENT CAPITAL GROUP SECURITIES, INC.
March 22, 2005 - June 25, 2005
PARKER/HUNTER INCORPORATED
June 23, 1999 - December 31, 2007
JANNEY MONTGOMERY SCOTT LLC
January 30, 1997 - July 9, 1999
LEGG MASON WOOD WALKER, INCORPORATED
January 2, 1986 - September 20, 1996
STIFEL, NICOLAUS & COMPANY, INCORPORATED
August 12, 1985 - January 2, 1986
SCHERCK, STEIN & FRANC, INC.
July 29, 1983 - June 20, 1984
WZW FINANCIAL SERVICES, INC.
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
RETIREMENT CAPITAL GROUP SECURITIES, INC.
CRD#: 126716 / SEC#: , 8-65903
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NIP, INC. | SHAREHOLDER | |
| GRUBEN, KRISTIN LYNN | INTERIM CHIEF COMPLIANCE OFFICER | 1203128 |
Disclosures
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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