Andrew T. Knee

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CRD#: 2226768

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.

Andrew Todd Knee, who also goes by Andy Knee, was a registered financial professional .

Andrew is a previously registered financial professional and started their career in finance in 1993. Andrew had worked at 13 firms and has passed the Series 66, Series 63, SIE, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Andy 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

July 22, 2014 - December 15, 2014

LEGEND SECURITIES, INC.

CRD#: 44952

NEW YORK, NY

Past

July 2, 2012 - July 16, 2012

WTS PROPRIETARY TRADING GROUP LLC

CRD#: 148117

NEW YORK, NY

Past

April 26, 2011 - June 25, 2012

NATIONAL FINANCIAL SERVICES LLC

CRD#: 13041

JERSEY CITY, NJ

Past

April 13, 2010 - May 7, 2010

MORGAN STANLEY

RIA

CRD#: 149777

NEW YORK, NY

Past

February 24, 2010 - May 7, 2010

MORGAN STANLEY

CRD#: 149777

NEW YORK, NY

Past

June 19, 2006 - February 13, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

Past

August 6, 2004 - August 17, 2004

KING FINANCIAL SERVICES, INC.

CRD#: 25843

EDISON, NJ

Past

June 11, 2002 - October 8, 2002

APEX CLEARING CORPORATION

CRD#: 13071

DALLAS, TX

Past

December 5, 2001 - March 13, 2002

SCHONFELD SECURITIES, LLC

CRD#: 23304

JERICHO, NY

Past

March 6, 2001 - November 16, 2001

BROADWAY TRADING, LLC

CRD#: 42429

NEW YORK, NY

Past

November 21, 1996 - June 16, 1999

NATIONAL FINANCIAL SERVICES LLC

CRD#: 13041

BOSTON, MA

Past

June 4, 1996 - July 16, 1996

GVR COMPANY

CRD#: 31172

CHICAGO, IL

Past

January 29, 1996 - May 20, 1996

KROLL SECURITIES LLC

CRD#: 36927

CHICAGO, IL

Past

August 28, 1995 - February 1, 1996

RODMAN & RENSHAW INC.

CRD#: 724

CHICAGO, IL

Past

February 3, 1993 - March 16, 1995

PARAGON CAPITAL MARKETS, INC.

CRD#: 18555

EAST HANOVER, NJ

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 66

Date: 4/8/2010

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/10/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/15/2014

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 5/24/1999

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 2/1/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/3/2001

General Securities Principal Examination

Current Firm

LEGEND SECURITIES, INC.

LEGEND SECURITIES, INC. | SPC SECURITIES, INC. | MARLIN TRADING, INC.

CRD#: 44952 / SEC#: , 8-50886

Postponed Effective by SEC on 01/19/2017

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Contact information

Main Address

Mailing Address

Phone number

Established

New York since 01/29/1998

Firm type

Corporation

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
STOCKTRADE NETWORK, INC.	SHARE OWNER

Disclosures

Regulatory Event	22
Arbitration	14

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.

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Advisor Monitoring

Firm Stability Insights

Andrew T. Knee

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WTS PROPRIETARY TRADING GROUP LLC

NATIONAL FINANCIAL SERVICES LLC

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

KING FINANCIAL SERVICES, INC.

APEX CLEARING CORPORATION

SCHONFELD SECURITIES, LLC

BROADWAY TRADING, LLC

NATIONAL FINANCIAL SERVICES LLC

GVR COMPANY

KROLL SECURITIES LLC

RODMAN & RENSHAW INC.

PARAGON CAPITAL MARKETS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 4/8/2010

Series 63

Date: 10/10/2006

SIE

Date: 12/15/2014

Series 55

Date: 5/24/1999

Series 7

Date: 2/1/1993

Series 24

Date: 7/3/2001

Current Firm

LEGEND SECURITIES, INC.

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

LEGEND SECURITIES, INC.

TRUST BUT VERIFY

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