David W. Knowlton
Professional summary
David William Knowlton, who also goes by David W Knowlton, David Knowlton, is a registered financial professional 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David William Knowlton's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 24, 2013 - Present
THREE OCEAN SECURITIES LLC
Office #1: 551 Fifth Avenue, Suite 3800, New York, NY 10176Office #2: 551 Fifth Avenue Suite 3800, New York, NY 10176September 1, 2009 - July 29, 2010
B. RILEY SECURITIES, INC.
October 12, 2006 - September 22, 2009
WATCH HILL ADVISORS LLC
October 1, 1999 - May 23, 2001
WELLS FARGO CLEARING SERVICES, LLC
April 16, 1999 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
February 12, 1998 - April 28, 1999
NATWEST FINANCE INC.
January 31, 1997 - July 21, 1998
NATWEST SECURITIES CORPORATION
July 2, 1993 - January 6, 1997
J.P. MORGAN 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 62
Date: 1/2/2023
Corporate Securities Limited Representative ExaminationFINRA
Current Firm
THREE OCEAN SECURITIES LLC
CRD#: 166387 / SEC#: , 8-69203
Contact information
FINRA licenses (1 States and Territories)
Documents
Red Flags
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