JK
Jonathan R. Knowles
BROWN, LISLE/CUMMINGS
Providence, RI 02903
Some features on this profile are disabled
CRD#: 272626
JK
Professional summary
Jonathan Read Knowles is a registered financial professional currently at BROWN, LISLE/CUMMINGS, INC. located in Providence, Rhode Island.
Jonathan is registered as a RR (Registered Representative) and started their career in finance in 1964. Jonathan has worked at 3 firms and has passed the Series 63, Series 7TO, SIE, Series 1, Series 24, Series 4 and Series 00 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary) - BD
Click below to view Jonathan Read Knowles's 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®
NoneExperience
Current
December 28, 1984 - Present
BROWN, LISLE/CUMMINGS, INC.
Office #1: One Turks Head Place - Suite 800, Providence, RI 02903RIA
BD
CRD#: 1331
Providence, RI
Past
August 7, 1974 - December 26, 1984
CUMMINGS & CO., INC.
BD
CRD#: 1562
Past
May 14, 1964 - November 10, 1974
HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED
BD
CRD#: 412
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
BROWN, LISLE/CUMMINGS, INC.
BROWN, LISLE & MARSHALL, INCORPORATED | BROWN, LISLE/CUMMINGS, INC. | BROWN, LISLE/CUMMINGS, INC
CRD#: 1331 / SEC#: 801-121156, 8-12716
RIA
Registered Investment Advisory firm - SEC (5/6/2021 Approved)Connecticut
Registered Investment Advisory firm - SEC (5/11/2021 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (5/10/2021 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (5/10/2021 Terminated)Texas
Registered Investment Advisory firm - SEC (2/11/2010 Terminated)Washington
Registered Investment Advisory firm - SEC (6/10/2021 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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(5/19/1994)
RR
Colorado(8/14/2024)
RR
Connecticut(4/26/1990)
RR
Florida(3/5/1991)
RR
Illinois(4/20/2022)
RR
Indiana(10/18/2012)
RR
Maine(4/9/1990)
RR
Maryland(11/21/1991)
RR
Massachusetts(4/3/1985)
RR
Nevada(1/27/2021)
RR
New Hampshire(2/23/1990)
RR
New York(4/18/1990)
RR
North Carolina(6/17/2025)
RR
Ohio(1/2/2001)
RR
Rhode Island(12/28/1984)
RR
Vermont(3/3/1993)
RR
Virginia(11/17/2008)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 5/12/1964
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 00
Date: 2/8/1975
General Securities Principal ExaminationSRO Registrations
RR
FINRA
Current Firm
BROWN, LISLE/CUMMINGS, INC.
BROWN, LISLE & MARSHALL, INCORPORATED | BROWN, LISLE/CUMMINGS, INC. | BROWN, LISLE/CUMMINGS, INC
CRD#: 1331 / SEC#: 801-121156, 8-12716
RIA
Registered Investment Advisory firm - SEC (5/6/2021 Approved)Connecticut
Registered Investment Advisory firm - SEC (5/11/2021 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (5/10/2021 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (5/10/2021 Terminated)Texas
Registered Investment Advisory firm - SEC (2/11/2010 Terminated)Washington
Registered Investment Advisory firm - SEC (6/10/2021 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
One Turks Head Place - Suite 800 Suite 800, Providence, RI 02903
Mailing Address
One Turks Head Place - Suite 800, Providence, RI 02903-2273
Phone number
(401) 421-8900
Established
Rhode Island since 12/13/1965
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
12
SEC notice filing (13 States and Territories)
FINRA licenses (35 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| IZZI, DAVID ANTHONY | PRESIDENT; SECRETARY; TREASURER; CHIEF COMPLIANCE OFFICER | 2027961 |
| LISLE, SCOTT SAWYER | VICE PRESIDENT | 2220388 |
| MARGINSON, JOHN ARTHUR | VICE PRESIDENT | 860727 |
| MCGINN, JOSEPH HUGH JR | VICE PRESIDENT | 2354164 |
| MURPHY, LOUIS GEORGE JR | VICE PRESIDENT | 1162141 |
| TRACY, CLIFFORD BURRELL JR | VICE PRESIDENT | 1213468 |
Regulatory assets under management
| Total Number of Accounts | 445 |
| AUM (Assets Under Management) | $ 414,675,665 |
Disclosures
| Regulatory Event | 7 |
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
BROWN, LISLE/CUMMINGS, INC.
CRD#: 1331Providence, RI 02903TRUST BUT VERIFY
Monitor Jonathan Knowles
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
