AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
DK

David L. Knowles

PGP CAPITAL ADVISORS
Los Angeles, CA 90017
Some features on this profile are disabled
CRD#: 1162773
DK

Professional summary

David Linden Knowles is a registered financial professional currently at PGP CAPITAL ADVISORS, LLC located in Los Angeles, California.

David is registered as a RR (Registered Representative) and started their career in finance in 1983. David has worked at 8 firms and has passed the Series 66, Series 63, Series 79TO, Series 62, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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) - BD

Click below to view David Linden Knowles's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

November 12, 2018 - Present

PGP CAPITAL ADVISORS, LLC

Office #1: 865 S. Figueroa Street Suite 1330, Los Angeles, CA 90017
BD
CRD#: 128797
Los Angeles, CA
Past

July 17, 2014 - November 8, 2018

CHESSIECAP SECURITIES, INC.

BD
CRD#: 132153
TOWSON, MD
Past

July 2, 2010 - August 23, 2012

RAYMOND JAMES & ASSOCIATES, INC.

RIA
CRD#: 705
LOS ANGELES, CA
Past

July 2, 2010 - August 23, 2012

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
LOS ANGELES, CA
Past

March 5, 2009 - July 13, 2010

STONNINGTON GROUP, LLC

RIA
CRD#: 131221
PASADENA, CA
Past

February 5, 2009 - July 13, 2010

STONNINGTON GROUP, LLC

BD
CRD#: 131221
PASADENA, CA
Past

April 30, 2003 - March 19, 2007

CS SECURITIES, INC.

BD
CRD#: 40685
LOS ANGELES, CA
Past

August 3, 2001 - December 20, 2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

December 11, 1993 - July 18, 2001

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

September 16, 1983 - April 16, 1992

SALOMON BROTHERS INC.

BD
CRD#: 740
NEW YORK, NY
Past

July 20, 1983 - September 12, 1983

BECKER PARIBAS INCORPORATED

BD
CRD#: 7635

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(11/13/2018)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/3/2009
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 4/25/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 62
Date: 1/2/2023
Corporate Securities Limited Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/16/1983
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/19/1988
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

PC
PGP CAPITAL ADVISORS, LLC
PACIFIC GEMINI PARTNERS, LLC | PGP CAPITAL ADVISORS, LLC

CRD#: 128797 / SEC#: , 8-66180

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
865 S. Figueroa Street Suite 1330, Los Angeles, CA 90017
Mailing Address
865 S. Figueroa Street Suite 1330, Los Angeles, CA 90017
Phone number
(310) 268-0885
Established
Delaware since 07/10/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (8 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PGP HOLDINGS, LLCPARENT
COLLINS, ELIZABETH SARAHFINOP4714831
KIM, STEWART MICHAELCHIEF COMPLIANCE OFFICER1715034

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

PGP CAPITAL ADVISORS, LLC

CRD#: 128797Los Angeles, CA 90017

TRUST BUT VERIFY

Monitor David Knowles

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Danielle Purcell Barrios
Danielle BarriosAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
Beverly Hills, CA
Kenneth Hickman
Kenneth HickmanAdvisorCheck Check Mark
AMERIPRISE FINANCIAL SERVICES, LLC
IAR
RR
Brea, CA
Jon Derek Neuhaus
Jon NeuhausAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
El Segundo, CA
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics