Connie M. Knox
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.
Connie Monica Knox, who also goes by Connie Monica Hamblen, Connie M Knox, Constance Knox, Connie Rodriguez, Constance Rodriguez, Connie Sharp, was a registered financial professional .
Connie is a previously registered financial professional and started their career in finance in 1993. Connie had worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 53 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
April 8, 2004 - May 14, 2018
WESCOM FINANCIAL SERVICES
April 8, 2004 - May 14, 2018
WESCOM FINANCIAL SERVICES
June 3, 2002 - September 1, 2004
CUSO FINANCIAL SERVICES, L.P.
March 29, 1999 - December 20, 2000
BANCWEST INVESTMENT SERVICES, INC.
February 16, 1996 - April 6, 1999
MUTUAL SECURITIES, INC.
February 11, 1993 - February 20, 1996
MARKETING ONE SECURITIES, 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
WESCOM FINANCIAL SERVICES
CRD#: 125650 / SEC#: 801-113359, 8-66189
Contact information
FINRA licenses (1 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,138 |
| AUM (Assets Under Management) | $ 226,085,019 |
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.
