Lloyd Knipe
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.
Lloyd Knipe, who also goes by Charles Francis, Charles Knipe, Francis Charles Knipe, Francis Knipe, was a registered financial professional .
Lloyd is a previously registered financial professional and started their career in finance in 2001. Lloyd had worked at 3 firms and has passed the Series 66, Series 63 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
April 7, 2004 - September 16, 2004
GREAT EASTERN SECURITIES, INC.
August 25, 2003 - March 10, 2004
GREAT EASTERN SECURITIES, INC.
May 6, 2003 - August 5, 2003
S.W. BACH & COMPANY
May 24, 2001 - August 17, 2001
CANTELLA & CO., 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
Current Firm
GREAT EASTERN SECURITIES, INC.
CRD#: 2061 / SEC#: , 8-16880
Contact information
Documents
Disclosures
| Regulatory Event | 9 |
| Arbitration | 5 |
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.
