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HK

Herschel C. Knippa

Some features on this profile are disabled
CRD#: 2360056
HK

Professional summary

Herschel Curtis Knippa III was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Herschel is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Herschel had worked at 3 firms, which includes CRESVALE INTERNATIONAL (US) LLC, LASALLE ST SECURITIES L.L.C., PRUDENTIAL EQUITY GROUP LLC.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Herschel Curtis Iii Knippa | Tres Knippa Iii

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 24, 1998 - November 2, 1999

CRESVALE INTERNATIONAL (US) LLC

BD
CRD#: 44145
NEW YORK, NY
Past

October 31, 1996 - December 31, 1998

LASALLE ST SECURITIES, L.L.C.

BD
CRD#: 7191
ELMHURST, IL
Past

February 1, 1994 - October 10, 1996

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 3/7/1994
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/4/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 1/31/1994
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 6/11/1993
National Commodity Futures Examination

Current Firm

CI
CRESVALE INTERNATIONAL (US) LLC
CRESVALE INTERNATIONAL (US) LLC

CRD#: 44145 / SEC#: , 8-50555

BD
Terminated by SEC on 01/22/2000
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 03/07/1997
Firm type
Limited Liability Company
Fiscal year end
March
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
CHAN, KEVIN YUIKEUNGMEMBER/ FINOP
CURLEY, JAMES FRANCISMANAGING MEMBER
DILANDRO, NICHOLAS FREDRICKGENERAL SECURITIES PRINCIPAL
VASKIS, JEROME JOSEPHSROP / CROP

Disclosures

Regulatory Event1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

CRESVALE INTERNATIONAL (US) LLC

CRD#: 44145

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