Keith R. Knox
Professional summary
Keith Robert Knox is a registered financial professional currently at WALL STREET ACCESS located in New York, New York.
Keith is registered as a RR (Registered Representative) and started their career in finance in 1983. Keith has worked at 9 firms and has passed the Series 66, Series 79TO, Series 99TO, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Keith Robert Knox's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 20, 2012 - Present
WALL STREET ACCESS
Office #1: 100 Wall Street, Suite 804, New York, NY 10005January 17, 2013 - August 23, 2022
KELLEHER FINANCIAL ADVISORS, LLC
January 18, 2012 - July 2, 2012
TD AMERITRADE, INC.
January 18, 2012 - July 2, 2012
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
January 17, 2012 - July 2, 2012
TD AMERITRADE, INC.
November 15, 2011 - January 6, 2012
NETWORK 1 FINANCIAL SECURITIES INC.
May 16, 2011 - November 14, 2011
VFINANCE INVESTMENTS, INC
January 7, 2003 - May 3, 2011
HUDSON SECURITIES,INC.
March 21, 1985 - March 17, 2003
UBS CAPITAL MARKETS L.P.
July 20, 1983 - March 14, 1985
EMPIRE NATIONAL SECURITIES, INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/10/2012)
(6/20/2012)
(9/10/2012)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 12/12/1998
Limited Representative-Equity Trader ExamFINRA
NYSE American LLC
NYSE Arca, Inc.
Nasdaq BX, Inc.
Nasdaq Stock Market
New York Stock Exchange
Current Firm
WALL STREET ACCESS
CRD#: 10012 / SEC#: , 8-25936
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DPK SECURITIES, LLC | 98% OWNER/GENERAL PARTNER | |
| DENIS P. KELLEHER, LLC | 2% OWNER/GENERAL PARTNER | |
| GOETCHIUS, ARTHUR LEROY | CHIEF EXECUTIVE OFFICER | 1374251 |
| KELLEHER, SEAN MICHAEL | PRESIDENT | 1726997 |
| LAVIN, WILLIAM KANE JR | EXECUTIVE MANAGING DIRECTOR / ROSFP | 2703117 |
| MITCHELL, JOHN LOUIS | CHIEF FINANCIAL OFFICER / FINOP | 2193524 |
| O'CONNELL, JOHN PATRICK | ASSISTANT CONTROLLER | 4698479 |
| VISCOVICH, GREGORY DOMINIC | CHIEF COMPLIANCE OFFICER | 2621348 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 15 |
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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