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TK

Thomas W. Knowles

Some features on this profile are disabled
CRD#: 1856002
TK

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.

Thomas Wayne Knowles SR, who also goes by Thomas Wayne Knowles, Wayne Knowles, was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1989. Thomas had 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"?
No

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)

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

June 15, 2012 - November 26, 2025

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.

BD
CRD#: 15252
NORCROSS, GA
Past

April 8, 1998 - May 17, 2006

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

BD
CRD#: 840
BOSTON, MA
Past

January 2, 1997 - July 3, 1997

INVESCO CAPITAL MARKETS, INC.

BD
CRD#: 6939
HOUSTON, TX
Past

January 2, 1996 - January 2, 1997

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

November 16, 1994 - January 1, 1996

FUNDMARK INVESTMENT COMPANY SERVICES, INC.

BD
CRD#: 13066
Past

January 3, 1989 - October 17, 1994

INVESCO CAPITAL MARKETS, INC.

BD
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".
CI
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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 5/11/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/6/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 7/16/1988
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/9/2005
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 26
Date: 11/30/1992
Investment Company Products/Variable Contracts Principal Examination

Current Firm

CI
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)
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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
55

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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 Accounts16,134
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.

Company Information

CONFLUENCE INVESTMENT MANAGEMENT LLC

CRD#: 146019

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