Phyllis J. Knowles
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.
Phyllis Jean Knowles, who also goes by Phyllis Jean Greenwade, Phyyllis Jean Greenwade, Phyllis Jean Greenwadeknowles, Phyllis Greenwade Knowles, Phyllis K Knowles, was a registered financial professional .
Phyllis is a previously registered financial professional and started their career in finance in 1984. Phyllis had worked at 18 firms and has passed the Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 6, Series 22, Series 14, Series 10, Series 9 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
March 23, 2021 - April 3, 2026
CHARLES SCHWAB & CO., INC.
February 9, 2012 - October 20, 2021
TD AMERITRADE, INC.
January 18, 2012 - October 20, 2021
TD AMERITRADE CLEARING, INC.
October 4, 2006 - March 9, 2010
MOMENTUM INDEPENDENT NETWORK INC.
September 13, 2002 - December 2, 2003
MYDISCOUNTBROKER.COM
September 12, 2002 - November 1, 2004
MAY FINANCIAL CORPORATION
October 3, 2001 - December 2, 2003
SOUTHWEST CLEARING CORP.
November 17, 2000 - March 9, 2010
MOMENTUM INDEPENDENT NETWORK INC.
September 2, 1998 - March 9, 2010
HILLTOP SECURITIES INC.
September 2, 1998 - March 9, 2010
HILLTOP SECURITIES INC.
August 10, 1992 - September 2, 1998
1ST GLOBAL CAPITAL CORP.
May 26, 1992 - July 1, 1992
KAVANAUGH SECURITIES, INC.
June 18, 1989 - June 1, 1992
SUNAMERICA SECURITIES, INC.
February 3, 1988 - June 18, 1989
SOUTHMARK FINANCIAL SERVICES, INC.
September 1, 1987 - October 14, 1987
BOETTCHER & COMPANY, INC.
June 18, 1987 - September 1, 1987
LOVETT MITCHELL WEBB & GARRISON, INC.
December 2, 1986 - December 8, 1987
CARNEGIE SECURITIES CORPORATION
September 17, 1986 - October 1, 1986
WATSON & TAYLOR INVESTMENTS INC.
February 26, 1986 - April 10, 1986
CHANCELLOR CAPITAL CORPORATION
November 9, 1984 - December 11, 1985
HALL SECURITIES CORPORATION
Primary Firm SEC Registration
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
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
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHWAB HOLDINGS, INC. | 100% OWNER | |
| BEATTY, JONATHAN SCOTT | DIRECTOR, MANAGING DIRECTOR AND HEAD OF ADVISOR SERVICES | 2429276 |
| CRAIG, JONATHAN M | PRESIDENT, DIRECTOR, MANAGING DIRECTOR AND HEAD OF INVESTOR SERVICES AND MARKETING | 4144656 |
| HATHI, NEESHA K | MANAGING DIRECTOR HEAD OF WEALTH & ADVICE SOLUTIONS | 2648997 |
| HOWARD, DENNIS WILLARD | MANAGING DIRECTOR AND CHIEF INFORMATION OFFICER | 6403083 |
| NICHOLS, CHARLES | MANAGING DIRECTOR AND BROKER DEALER & INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER | 4811434 |
| STARR, JEFFREY HAROLD | MANAGING DIRECTOR, AND OPERATIONAL SERVICES AND PRINCIPAL OPERATIONS OFFICER | 4700461 |
| VERDESCHI, MICHAEL DANIEL | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 4570777 |
Disclosures
| Regulatory Event | 58 |
| Civil Event | 3 |
| Arbitration | 251 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/23/2026 | ||
| 02/24/2025 | ||
| 01/19/2024 | ||
| 04/14/2023 |
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.
