Jerry H. Knowlton
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.
Jerry Henton Knowlton was a registered financial professional .
Jerry is a previously registered financial professional and started their career in finance in 1971. Jerry had worked at 4 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 24, 2013 - September 3, 2019
NEXT FINANCIAL GROUP, INC.
January 2, 2002 - September 3, 2019
NEXT FINANCIAL GROUP, INC.
March 31, 1990 - December 31, 2001
VOYA FINANCIAL ADVISORS, INC.
July 15, 1975 - November 6, 1981
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
July 15, 1975 - March 31, 1988
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
August 9, 1971 - June 7, 1975
NYLIFE SECURITIES LLC
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 1
Date: 8/5/1971
Registered Representative ExaminationCurrent Firm
NEXT FINANCIAL GROUP, INC.
CRD#: 46214 / SEC#: 801-56786, 8-51356
Contact information
FINRA licenses (7 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 16,805 |
| AUM (Assets Under Management) | $ 3,769,456,133 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2024 | ||
| 06/28/2024 |
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.
