William F. Knight
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.
William Francis Knight III, who also goes by Bill William Knight III, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1988. William had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 7, 2007 - September 7, 2016
INVESTORS CAPITAL CORP.
March 7, 2007 - September 7, 2016
INVESTORS CAPITAL CORP.
September 12, 2003 - October 23, 2006
SOURCE CAPITAL MANAGEMENT
December 1, 2001 - March 16, 2007
SOURCE CAPITAL GROUP, INC.
June 28, 2000 - December 1, 2001
MERIT CAPITAL ASSOCIATES, INC.
September 3, 1998 - June 26, 2000
FIRST SECURITY INVESTMENTS, INC.
March 2, 1994 - July 27, 1998
PACIFIC CORTEZ SECURITIES INCORPORATED
April 26, 1993 - March 9, 1994
BURNETT, GREY & CO., INC.
March 22, 1993 - April 30, 1993
PORTFOLIO ASSET MGT/USA FINANCIAL GROUP INC.
March 1, 1989 - June 13, 1990
ROBERT TODD FINANCIAL CORP.
December 20, 1988 - March 10, 1989
INVESTORS CENTER, 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
INVESTORS CAPITAL CORP.
CRD#: 30613 / SEC#: 801-62341, 8-45054
Contact information
Disclosures
| Regulatory Event | 22 |
| Arbitration | 11 |
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.
