Rick A. Kneisley
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.
Rick Arthur Kneisley was a registered financial professional .
Rick is a previously registered financial professional and started their career in finance in 1986. Rick had worked at 18 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 5, 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
January 6, 2011 - April 20, 2016
B.B. GRAHAM & COMPANY, INC.
February 23, 2009 - July 22, 2009
U.S. BANCORP INVESTMENTS, INC.
February 19, 2009 - July 22, 2009
U.S. BANCORP INVESTMENTS, INC.
March 4, 2008 - March 6, 2009
LPL FINANCIAL LLC
March 4, 2008 - March 6, 2009
LPL FINANCIAL LLC
August 1, 2007 - March 4, 2008
IFMG SECURITIES, INC.
August 1, 2007 - March 4, 2008
IFMG SECURITIES, INC.
March 2, 2004 - August 9, 2007
DFC INVESTOR SERVICES
May 29, 2002 - August 9, 2007
DFC INVESTOR SERVICES
August 13, 2001 - May 9, 2002
PERKINS, SMART & BOYD, INC.
June 26, 2001 - August 14, 2001
QUICK & REILLY, INC.
February 8, 1999 - October 6, 2000
SENTRA SECURITIES CORPORATION
May 27, 1997 - September 11, 1998
VOYA FINANCIAL ADVISORS, INC.
February 25, 1997 - April 4, 1997
LPL FINANCIAL LLC
March 29, 1996 - July 16, 1996
U.S. BANCORP SECURITIES
January 11, 1996 - January 16, 1996
INDEPENDENT FINANCIAL SECURITIES, INC.
December 7, 1995 - December 19, 1995
SECURITIES AMERICA, INC.
July 25, 1995 - August 25, 1995
WELLS FARGO SECURITIES INC.
February 7, 1994 - February 20, 1995
GATEWAY INVESTMENT SERVICES, INC.
January 4, 1993 - February 8, 1994
INVEST FINANCIAL CORPORATION
October 9, 1992 - December 1, 1992
ASB FINANCIAL SERVICES
January 19, 1990 - October 2, 1992
INVEST FINANCIAL CORPORATION
June 8, 1988 - November 13, 1989
INVEST FINANCIAL CORPORATION
June 22, 1987 - February 11, 1988
CITIGROUP GLOBAL MARKETS INC.
January 22, 1986 - June 29, 1987
THE STUART-JAMES COMPANY, INCORPORATED
Primary Firm SEC Registration
B.B. GRAHAM & COMPANY, INC.
CRD#: 41533 / SEC#: 801-106968, 8-49477
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 5
Date: 9/22/1987
Interest Rate Options ExaminationCurrent Firm
B.B. GRAHAM & COMPANY, INC.
CRD#: 41533 / SEC#: 801-106968, 8-49477
Contact information
SEC notice filing (45 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GRAHAM, BRUCE EDWIN | PRESIDENT, CHIEF FINANCIAL OFFICER, FINOP, PRINCIPAL FINANCIAL OFFICER | 2563258 |
| BETTFREUND, JOHN WAYNE JR | CHIEF COMPLIANCE OFFICER | 1448436 |
| CALLEN, DOUGLAS BRAD | SENIOR VICE PRESIDENT, PRINCIPAL OPERATIONS OFFICER | 2133945 |
| GODINEZ, MARIE ELIZABETH | CHIEF OPERATIONS OFFICER | 3020086 |
Regulatory assets under management
| Total Number of Accounts | 303 |
| AUM (Assets Under Management) | $ 196,073,458 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 4 |
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.
