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JK

Jay A. Knopf

RICE FINANCIAL PRODUCTS COMPANY
New York, NY 10019
Some features on this profile are disabled
CRD#: 2321109
JK

Professional summary

Jay Allen Knopf, who also goes by Jay Knopf, is a registered financial professional currently at RICE FINANCIAL PRODUCTS COMPANY located in New York, New York.

Jay is registered as a RR (Registered Representative) and started their career in finance in 2006. Jay has worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jay Knopf

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) - BD

Click below to view Jay Allen Knopf's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

April 6, 2021 - Present

RICE FINANCIAL PRODUCTS COMPANY

Office #1: 3 Columbus Circle 15th Fl, New York, NY 10019
BD
CRD#: 21606
New York, NY
Past

July 30, 2013 - April 29, 2021

MAXIM GROUP LLC

BD
CRD#: 120708
NEW YORK, NY
Past

April 25, 2011 - September 20, 2012

COWEN AND COMPANY

BD
CRD#: 7616
NEW YORK, NY
Past

February 24, 2011 - March 18, 2011

COWEN AND COMPANY

BD
CRD#: 7616
NEW YORK, NY
Past

September 3, 2010 - February 17, 2011

NEWEDGE USA, LLC

BD
CRD#: 36118
NEW YORK, NY
Past

July 25, 2008 - June 30, 2010

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

BD
CRD#: 3466
NEW YORK, NY
Past

March 23, 2007 - June 24, 2008

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

July 20, 2006 - March 23, 2007

SLK-HULL DERIVATIVES LLC

BD
CRD#: 46735
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(10/22/2021)
RR
Connecticut
(10/22/2021)
RR
Florida
(10/22/2021)
RR
Georgia
(10/22/2021)
RR
Illinois
(10/22/2021)
RR
Maryland
(10/22/2021)
RR
Massachusetts
(10/22/2021)
RR
Nebraska
(10/22/2021)
RR
New Jersey
(10/22/2021)
RR
New York
(4/6/2021)
RR
North Carolina
(10/22/2021)
RR
Ohio
(10/25/2021)
RR
Pennsylvania
(10/22/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 11/6/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/24/2008
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

RF
RICE FINANCIAL PRODUCTS COMPANY
APEX PRYOR SECURITIES, A DIVISION OF RICE FINANCIAL PRODUCTS CO | RJR SECURITIES, INC. | RICE SECURITIES, LLC | RICE FINANCIAL PRODUCTS COMPANY | APEX SECURITIES, INC.

CRD#: 21606 / SEC#: , 8-39085

BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information

Main Address
4235 Hillsboro Pike Suite 300, Nashville, TN 37215
Mailing Address
3 Columbus Circle 15th Fl, New York, NY, 10019
Phone number
(212) 908-9200
Established
Delaware since 06/15/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
RICE DERIVATIVE HOLDINGS, L.P.SHAREHOLDER
DEGIULO, THOMAS EDWARDROSFP2351167
NAZZARENO, KARENFINOP5813844
RICE, JAMES DONALD JRCHAIRMAN, CEO, CCO1414533

Disclosures

Regulatory Event6

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.

Company Information

RICE FINANCIAL PRODUCTS COMPANY

CRD#: 21606New York, NY 10019

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