Colleen M. Knupp
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.
Colleen Mitchell Knupp, who also goes by Colleen Marie Mitchell, was a registered financial professional .
Colleen is a previously registered financial professional and started their career in finance in 1993. Colleen had worked at 7 firms and has passed the Series 63, Series 3, 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
September 29, 2011 - February 2, 2012
TMT INVESTMENTS, LLC
September 11, 2007 - October 14, 2009
R.J. O'BRIEN SECURITIES, LLC
January 5, 2004 - September 17, 2007
TJM INVESTMENTS, LLC
September 11, 1995 - July 11, 2002
RJO SECURITIES, INC.
May 10, 1995 - August 25, 1995
TERRA NOVA FINANCIAL, LLC
December 21, 1994 - April 25, 1995
RCM SECURITIES
August 13, 1993 - December 31, 1994
MF GLOBAL INC.
State Registrations and Notice Filings
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Exams
Current Firm
TMT INVESTMENTS, LLC
CRD#: 144491 / SEC#: , 8-67661
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
Red Flags
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