Thomas W. Knowles

CONFLUENCE INVESTMENT MANAGEMENT LLC

FUQUAY-VARINA, NC

Some features on this profile are disabled

CRD#: 1856002

Professional summary

Thomas Wayne Knowles SR, who also goes by Thomas Wayne Knowles, Wayne Knowles, is a registered financial advisor currently at CONFLUENCE INVESTMENT MANAGEMENT LLC located in Fuquay-varina, North Carolina.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1989. Thomas has worked at 7 firms and has passed the Series 65, Series 63, Series 7, Series 24 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Thomas Wayne Knowles | Wayne Knowles

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) - RIA

Click below to view Thomas Wayne Knowles SR's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

June 15, 2012 - Present

CONFLUENCE INVESTMENT MANAGEMENT LLC

RIA

CRD#: 146019

FUQUAY-VARINA, NC

Past

July 29, 2010 - October 14, 2011

STEWARDSHIP PARTNERS INVESTMENT COUNSEL, INC.

RIA

CRD#: 115340

FUQUAY-VARINA, NC

Past

May 16, 2006 - May 3, 2010

WELLS INVESTMENT SECURITIES,INC.

CRD#: 15252

NORCROSS, GA

Past

April 8, 1998 - May 17, 2006

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

CRD#: 840

BOSTON, MA

Past

January 2, 1997 - July 3, 1997

INVESCO CAPITAL MARKETS, INC.

CRD#: 6939

HOUSTON, TX

Past

January 2, 1996 - January 2, 1997

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

Past

November 16, 1994 - January 1, 1996

FUNDMARK INVESTMENT COMPANY SERVICES, INC.

CRD#: 13066

Past

January 3, 1989 - October 17, 1994

INVESCO CAPITAL MARKETS, INC.

CRD#: 6939

HOUSTON, TX

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".

CONFLUENCE INVESTMENT MANAGEMENT LLC

CONFLUENCE CAPITAL MANAGEMENT LLC | CONFLUENCE INVESTMENT MANAGEMENT LLC | CONFLUENCE INVESTMENT ADVISORS LLC

CRD#: 146019 / SEC#: 801-68723

RIA

Registered Investment Advisory firm - (1/10/2008 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

North Carolina
(6/18/2012)

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

IAR

Series 65

Date: 5/11/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/6/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/16/1988

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/9/2005

General Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 11/30/1992

Investment Company Products/Variable Contracts Principal Examination

Current Firm

CONFLUENCE INVESTMENT MANAGEMENT LLC

CONFLUENCE CAPITAL MANAGEMENT LLC | CONFLUENCE INVESTMENT MANAGEMENT LLC | CONFLUENCE INVESTMENT ADVISORS LLC

CRD#: 146019 / SEC#: 801-68723

RIA

Registered Investment Advisory firm - (1/10/2008 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

20 Allen Avenue, Ste 300, Saint Louis, MO 63119

Mailing Address

Phone number

(314) 743-5090

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CONFLUENCE DISCLOSURE BROCHURE (3/21/2025)

Regulatory assets under management

Total Number of Accounts	16,134
AUM (Assets Under Management)	$ 7,251,904,123

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Thomas W. Knowles

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Wayne Knowles SR's CRS (Customer Relationship Summary).

Certified licenses

Experience

STEWARDSHIP PARTNERS INVESTMENT COUNSEL, INC.

WELLS INVESTMENT SECURITIES,INC.

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

INVESCO CAPITAL MARKETS, INC.

MORGAN STANLEY & CO. LLC

FUNDMARK INVESTMENT COMPANY SERVICES, INC.

INVESCO CAPITAL MARKETS, INC.

Primary Firm SEC Registration

CONFLUENCE INVESTMENT MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/11/1998

Series 63

Date: 12/6/1991

Series 7

Date: 7/16/1988

Series 24

Date: 11/9/2005

Series 26

Date: 11/30/1992

Current Firm

CONFLUENCE INVESTMENT MANAGEMENT LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CONFLUENCE INVESTMENT MANAGEMENT LLC

TRUST BUT VERIFY

Similar Advisors