Terry L. Knell
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.
Terry Lynn Knell was a registered financial professional .
Terry is a previously registered financial professional and started their career in finance in 1987. Terry had worked at 5 firms and has passed the Series 66, SIE, Series 7, Series 9, Series 10, Series 53, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 8, 2009 - April 7, 2016
AMEGY INVESTMENTS, INC.
June 8, 2009 - July 18, 2016
AMEGY INVESTMENTS, INC.
March 24, 2008 - June 17, 2009
UBS FINANCIAL SERVICES INC.
February 1, 2008 - June 17, 2009
UBS FINANCIAL SERVICES INC.
September 6, 2002 - August 29, 2007
J.P. MORGAN SECURITIES INC.
May 4, 1993 - May 13, 1993
TEXAS COMMERCE BROKERAGE
November 27, 1987 - December 2, 2003
J.P. MORGAN SECURITIES OF TEXAS, 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
AMEGY INVESTMENTS, INC.
CRD#: 120145 / SEC#: 801-61121, 8-65399
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ZB, N.A. | OWNER | |
| CHAPA, SCOTT EDWARD | DIRECTOR / SENIOR VICE PRESIDENT | 4309262 |
| DILLARD, KAREN | ASSISTANT SECRETARY | |
| KNELL, TERRY LYNN | VICE PRESIDENT & CHIEF COMPLIANCE OFFICER - BROKER DEALER & INVESTMENT ADVISORY SERVICES | 1733584 |
| NEWMAN, VALERIE LAYNE | VICE PRESIDENT | 2763957 |
| OUYANG, JANE JIA | DIRECTOR/SVP/CHIEF OPERATIONS OFFICER/CFO/FINOP | 1817244 |
| PAUL, ROSALIE JANISE | ASST. VICE PRESIDENT, COMPLIANCE OFFICER - INSURANCE ACTIVITIES | 2217903 |
| SHELTON, ROBERT ANDREWS | DIRECTOR / SENIOR VICE PRESIDENT | 2561167 |
| TAYLOR, LINCOLN EARL | PRESIDENT & DIRECTOR | 5011548 |
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.
