David William Knowlton
Professional Summary
David William Knowlton, who also goes by David W Knowlton, David Knowlton, is a registered financial advisor currently at THREE OCEAN SECURITIES LLC located in New York, New York. David is registered as a RR (Registered Representative) and started their career in finance in 1993. David has worked at 8 firms and has passed the Series 63, Series 99TO, Series 62, SIE, Series 7, Series 14 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
David W Knowlton, David Knowlton
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
33 years in the financial services industry
Current & Past Employments
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Current Firm
THREE OCEAN PARTNERS ADVISORS LLC | THREE OCEAN SECURITIES LLC
Contact Information
Main Address
551 Fifth Avenue, Suite 3800, New York, NY 10176Mailing Address
551 Fifth Avenue, Suite 3800, New York, NY 10176Phone Number
(212) 259-0559Established
Delaware since 07/22/2011Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (1 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 62 — Corporate Securities Limited Representative Examination
Passed Jan 2023SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view David William Knowlton's CRS (Customer Relationship Summary).
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