John B. Knox
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.
John Baylor Knox was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1987. John had worked at 7 firms and has passed the Series 63, Series 55 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
February 10, 2011 - December 2, 2013
BONDS.COM LLC
October 2, 2009 - January 4, 2011
BEACON CAPITAL MARKETS, LLC
August 17, 2009 - September 17, 2009
KJM SECURITIES, INC.
April 5, 1996 - June 6, 2007
J.P. MORGAN SECURITIES LLC
May 6, 1991 - November 21, 1995
EASTBRIDGE CAPITAL INC.
November 17, 1987 - November 15, 1990
SCHRODER & CO. INC.
March 23, 1987 - November 3, 1987
MANUFACTURERS HANOVER SECURITIES CORPORATION
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 55
Date: 3/31/2006
Limited Representative-Equity Trader ExamCurrent Firm
BONDS.COM LLC
CRD#: 43875 / SEC#: , 8-50451
Contact information
FINRA licenses (52 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
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.
