Knox H. Fuqua

Some features on this profile are disabled

CRD#: 2232177

Professional summary

Knox Harwell Fuqua was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Knox is a previously registered financial advisor and started their career in finance in 2004. Prior to being barred, Knox had worked at 1 firm, which includes KHF ADVISORS LLC.

Question & Answer

Are you a "fiduciary"?

Aliases

Knox Fuqua

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 29, 2004 - December 31, 2005

KHF ADVISORS LLC

RIA

CRD#: 127783

CHARLESTON, WV

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: 4/27/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/6/1992

Uniform Securities Agent State Law Examination

Current firm

No current employment

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.