Barbara J. Knox
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.
Barbara Jane Knox was a registered financial advisor .
Barbara is a previously registered financial advisor and started their career in finance in 1983. Barbara had worked at 13 firms and has passed the Series 63, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 3, 2005 - May 19, 2010
AURA ASSET MANAGEMENT, INC.
January 27, 2005 - November 4, 2009
AURA FINANCIAL SERVICES, INC.
September 22, 2003 - February 1, 2005
US TAX ADVISORY GROUP, INC.
June 23, 2003 - February 1, 2005
US TAX ADVISORY GROUP, INC.
January 22, 2003 - July 15, 2003
STONEX SECURITIES INC.
April 2, 2002 - December 12, 2002
CARDINAL CAPITAL MANAGEMENT, INC.
November 5, 2001 - March 4, 2002
WINDSOR STREET CAPITAL, LP
May 21, 1997 - November 5, 2001
FAS WEALTH MANAGEMENT SERVICES, INC.
November 10, 1995 - May 19, 1997
STIFEL INDEPENDENT ADVISORS, LLC
January 15, 1993 - November 8, 1995
MARION BASS SECURITIES CORPORATION
August 14, 1990 - October 19, 1992
MERIDIAN, DUNHILL & CO., INC.
August 3, 1988 - April 9, 1990
MERIDIAN, DUNHILL & CO., INC.
February 18, 1988 - August 18, 1988
RAYMOND JAMES & ASSOCIATES, INC.
March 2, 1987 - February 23, 1988
WACHOVIA SECURITIES, INC.
September 19, 1983 - March 26, 1987
MORGAN STANLEY DW 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
No current employment
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.
