James E. Knee

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CRD#: 1852920

Professional summary

James Edward Knee was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

James is a previously registered financial professional and started their career in finance in 1988. Prior to being barred, James had worked at 11 firms, which includes VOYA FINANCIAL ADVISORS INC., AMERIPRISE FINANCIAL SERVICES LLC, INVESTORS CAPITAL CORP., STERLING FINAN SRVS A FINAN ADVISORY PRACTICE OF AMERIPRISE FIN, CAMBRIDGE INVESTMENT RESEARCH INC., CANTELLA & CO. INC., RAYMOND JAMES FINANCIAL SERVICES INC., LPL FINANCIAL LLC, INVEST FINANCIAL CORPORATION, W.H. NEWBOLD'S SON & CO. INC., HOPPER SOLIDAY & CO. INC..

Question & Answer

Are you a "fiduciary"?

Aliases

Jim Knee

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

November 13, 2015 - August 25, 2016

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

concord, NH

Past

November 2, 2015 - August 25, 2016

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

concord, NH

Past

August 31, 2012 - November 11, 2015

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

CONCORD, NH

Past

August 31, 2012 - November 11, 2015

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

CONCORD, NH

Past

December 21, 2009 - September 27, 2012

INVESTORS CAPITAL CORP.

CRD#: 30613

CONCORD, NH

Past

January 4, 2007 - January 16, 2013

STERLING FINAN SRVS A FINAN ADVISORY PRACTICE OF AMERIPRISE FIN

RIA

CRD#: 135505

CONCORD, NH

Past

December 18, 2006 - December 31, 2009

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

CONCORD, NH

Past

February 25, 2005 - December 20, 2006

CANTELLA & CO., INC.

RIA

CRD#: 13905

CONCORD, NH

Past

February 16, 2005 - December 20, 2006

CANTELLA & CO., INC.

CRD#: 13905

CONCORD, NH

Past

November 13, 1998 - February 22, 2005

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA

CRD#: 6694

CONCORD, NH

Past

October 1, 1998 - February 22, 2005

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

Past

March 3, 1995 - October 19, 1998

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

July 24, 1989 - April 21, 1995

INVEST FINANCIAL CORPORATION

CRD#: 12984

APPLETON, WI

Past

May 1, 1989 - August 1, 1989

W.H. NEWBOLD'S SON & CO., INC.

CRD#: 7575

Past

September 20, 1988 - May 1, 1989

HOPPER SOLIDAY & CO., INC.

CRD#: 409

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882 / SEC#: 801-46585, 8-13987

RIA

Registered Investment Advisory firm - SEC (7/11/1994 Approved)

Broker-Dealer Firm Regulated by FINRA (Boston district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 7/27/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/25/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/17/1988

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/29/1993

General Securities Principal Examination

Current Firm

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882 / SEC#: 801-46585, 8-13987

RIA

Registered Investment Advisory firm - SEC (7/11/1994 Approved)

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

One Orange Way, Windsor, CT 06095

Mailing Address

One Orange Way, Windsor, CT 06095

Phone number

+1 (800) 356-2906

Established

Minnesota since 04/26/1968

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

563

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

PART 2A OF FORM ADV: FIRM BROCHURE (12/10/2025)

PART 2A APPENDIX 1 OF FORM ADV: WRAP FEE PROGRAM BROCHURE (12/10/2025)

PART 2A APPENDIX OF FORM ADV: INVESTOR CHANNEL WRAP FEE PROGRAM BROCHURE (12/10/2025)

Direct owners and executive officers

Name	Position	CRD#
VOYA HOLDINGS INC.	100% SHAREHOLDER
BOHN, FREDERICK HENRY	CHIEF FINANCIAL OFFICER	5791728
DEPRATTI, JOHN J	VP, OPERATIONS PRINCIPAL	2927917
PAASCH, STEPHAN ANTHONY	CHIEF COMPLIANCE OFFICER	2968516
REILLY, JONATHAN FRANCIS	PRESIDENT	2039032

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

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James E. Knee

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

VOYA FINANCIAL ADVISORS, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

INVESTORS CAPITAL CORP.

STERLING FINAN SRVS A FINAN ADVISORY PRACTICE OF AMERIPRISE FIN

CAMBRIDGE INVESTMENT RESEARCH, INC.

CANTELLA & CO., INC.

CANTELLA & CO., INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

LPL FINANCIAL LLC

INVEST FINANCIAL CORPORATION

W.H. NEWBOLD'S SON & CO., INC.

HOPPER SOLIDAY & CO., INC.

Primary Firm SEC Registration

VOYA FINANCIAL ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/27/1988

SIE

Date: 8/25/2016

Series 7

Date: 9/17/1988

Series 24

Date: 10/29/1993

Current Firm

VOYA FINANCIAL ADVISORS, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

VOYA FINANCIAL ADVISORS, INC.

TRUST BUT VERIFY

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