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Barbara Jane Knox

CRD# 1189456·Registered 1983 - 2010
Previously Registered: Being a previously registered professional could mean that Barbara 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.

Professional Summary

Barbara Jane Knox was a registered financial advisor. Barbara was a previously registered financial advisor and started their career in finance 1983 - 2010. Barbara had worked at 13 firms and has passed the Series 63, Series 7, Series 53 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

43 years in the financial services industry

Current & Past Employments

AURA ASSET MANAGEMENT, INC.·CRD# 129402
RIA
Sarasota, FL
May 3, 2005 - May 19, 2010
AURA FINANCIAL SERVICES, INC.·CRD# 42822
BD
Sarasota, FL
January 27, 2005 - November 4, 2009
US TAX ADVISORY GROUP, INC.·CRD# 125867
RIA
Sarasota, FL
September 22, 2003 - February 1, 2005
US TAX ADVISORY GROUP, INC.·CRD# 125867
BD
Sarasota, FL
June 23, 2003 - February 1, 2005
STONEX SECURITIES INC.·CRD# 18456
BD
Birmingham, AL
January 22, 2003 - July 15, 2003
CARDINAL CAPITAL MANAGEMENT, INC.·CRD# 24605
BD
Miami, FL
April 2, 2002 - December 12, 2002
WINDSOR STREET CAPITAL, LP·CRD# 34171
BD
New York, NY
November 5, 2001 - March 4, 2002
FAS WEALTH MANAGEMENT SERVICES, INC.·CRD# 10164
BD
Sarasota, FL
May 21, 1997 - November 5, 2001
STIFEL INDEPENDENT ADVISORS, LLC·CRD# 28218
BD
St. Louis, MO
November 10, 1995 - May 19, 1997
MARION BASS SECURITIES CORPORATION·CRD# 7961
BD
Charlotte, NC
January 15, 1993 - November 8, 1995
MERIDIAN, DUNHILL & CO., INC.·CRD# 15294
BD
August 14, 1990 - October 19, 1992
MERIDIAN, DUNHILL & CO., INC.·CRD# 15294
BD
August 3, 1988 - April 9, 1990
RAYMOND JAMES & ASSOCIATES, INC.·CRD# 705
BD
February 18, 1988 - August 18, 1988
WACHOVIA SECURITIES, INC.·CRD# 431
BD
March 2, 1987 - February 23, 1988
MORGAN STANLEY DW INC.·CRD# 7556
BD
September 19, 1983 - March 26, 1987

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Current Firm

No current employment

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Oct 1992About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Sep 1983About the Series 7 exam

Series 53 — Municipal Securities Principal Examination

Passed May 2003About the Series 53 exam

Series 24 — General Securities Principal Examination

Passed Sep 1997About the Series 24 exam

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CRS (Client Relationship Summary)

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

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