Julie L. Knauer
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.
Julie L Knauer, who also goes by Julie Lyn Knauer, Julie Lynn Knauer, Julie Knauer, was a registered financial professional .
Julie is a previously registered financial professional and started their career in finance in 1993. Julie had worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 16, 2010 - January 3, 2020
VOYA INVESTMENTS DISTRIBUTOR, LLC
March 30, 2007 - August 16, 2010
ING INVESTMENT MANAGEMENT SERVICES LLC
July 19, 2002 - October 16, 2006
FURTHER LANE SECURITIES, L.P.
November 21, 2001 - July 9, 2002
THE CONCORD EQUITY GROUP, LLC
April 19, 1999 - November 20, 2001
IMPERIAL CAPITAL, LLC
February 27, 1997 - April 14, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 14, 1993 - January 31, 1997
TUCKER ANTHONY INCORPORATED
April 16, 1993 - August 3, 1993
LEHMAN BROTHERS 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
VOYA INVESTMENTS DISTRIBUTOR, LLC
CRD#: 37886 / SEC#: , 8-48020
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 1 |
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.
