Douglas A. Knight
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.
Douglas Andrew Knight was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1985. Douglas had worked at 3 firms and has passed the Series 63, SIE, Series 15, Series 3, Series 7, Series 10, Series 9 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 31, 1994 - September 27, 2019
GEORGE K. BAUM & COMPANY
November 19, 1990 - May 31, 1994
GKB, INC.
August 21, 1985 - August 23, 1989
LEHMAN BROTHERS 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
Series 15
Date: 9/26/1986
Foreign Currency Options ExaminationCurrent Firm
GEORGE K. BAUM & COMPANY
CRD#: 36354 / SEC#: , 8-47195
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
