George D. Knuckles
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.
George Douglas Knuckles was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1985. George had worked at 13 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 28, 2013 - December 31, 2016
VOYA FINANCIAL ADVISORS, INC.
July 12, 2007 - October 2, 2012
U.S. BANCORP INVESTMENTS, INC.
July 10, 2007 - October 2, 2012
U.S. BANCORP INVESTMENTS, INC.
June 5, 2003 - July 10, 2007
AVANTAX ADVISORY SERVICES
May 19, 2003 - July 2, 2007
AVANTAX INVESTMENT SERVICES, INC.
September 3, 2002 - December 6, 2002
MORGAN STANLEY DW INC.
September 22, 1998 - December 6, 2002
MORGAN STANLEY DW INC.
July 11, 1996 - June 10, 1998
ALAMO CAPITAL
January 25, 1993 - July 17, 1996
MARK PRESSMAN ASSOCIATES AND/OR MPA
November 26, 1990 - December 11, 1992
FIRST CALIFORNIA CAPITAL MARKETS GROUP, INC.
February 2, 1990 - November 29, 1990
ROBERT THOMAS SECURITIES, INC
December 14, 1988 - February 8, 1990
MUNICICORP OF CALIFORNIA
July 25, 1988 - December 21, 1988
BIRR WILSON, INC.
December 18, 1987 - August 9, 1988
BWS, INC.
November 19, 1985 - November 17, 1987
WULFF, HANSEN & CO.
Primary Firm SEC Registration
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
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
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,854 |
| AUM (Assets Under Management) | $ 2,744,735,129 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 9 |
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.
