George A. Knutson
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.
George Axxel Knutson, who also goes by Geo L Knutson, George L Knutson, George Leonard Knutson, was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1970. George had worked at 25 firms and has passed the Series 63, Series 87, Series 3, Series 7, Series 1, Series 24, F04 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2003 - December 31, 2010
CANTELLA & CO., INC.
March 24, 2000 - December 31, 2002
FIRST ALLIED SECURITIES, INC.
July 8, 1999 - March 28, 2000
PLATINUM EQUITIES, INC.
May 5, 1999 - June 11, 1999
TRADE.COM ONLINE SECURITIES, INC.
January 22, 1998 - October 23, 1998
WINDSOR STREET CAPITAL, LP
May 29, 1997 - January 12, 1998
MONTROSE CAPITAL MANAGEMENT LTD.
May 29, 1996 - May 12, 1997
FIRST UNITED EQUITIES CORPORATION
March 25, 1996 - April 2, 1996
GOLDEN HARRIS CAPITAL GROUP, INC.
December 22, 1995 - February 22, 1996
SUPPES SECURITIES, INC.
February 2, 1995 - December 16, 1995
ESSEX NATIONAL SECURITIES, LLC
October 29, 1993 - November 9, 1994
SUNPOINT SECURITIES, INC.
September 25, 1990 - November 26, 1991
MORGAN STANLEY DW INC.
April 16, 1990 - August 29, 1990
RYAN BECK & CO.
December 5, 1983 - February 24, 1984
DOFT & CO., INC.
January 18, 1983 - July 5, 1983
S.G. WARBURG & CO. INC.
May 29, 1982 - January 14, 1983
MORGAN, OLMSTEAD, KENNEDY & GARDNER INCORPORATED
October 27, 1980 - May 14, 1982
THE CAPITAL DEFENSE GROUP, LTD.
April 16, 1980 - December 20, 1980
J.P. MORGAN SECURITIES LLC
March 31, 1978 - March 29, 1980
NEDERLAND SECURITIES CORPORATION
October 8, 1976 - March 8, 1977
REYNOLDS SECURITIES, INC.
June 30, 1976 - February 18, 1977
BAKER, WEEKS & CO., INC.
April 28, 1976 - June 20, 1976
MOSELEY, HALLGARTEN & ESTABROOK INC
July 12, 1974 - April 28, 1976
MOSELEY, HALLGARTEN & ESTABROOK INC.
March 24, 1971 - July 25, 1973
MITCHUM, JONES & TEMPLETON INCORPORATED
April 15, 1970 - March 24, 1971
DEAN WITTER & CO. INCORPORATED
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: 1/18/1968
Registered Representative ExaminationF04
Date: 1/23/1978
Financial Principal ExaminationSeries 00
Date: 7/31/1969
General Securities Principal ExaminationCurrent Firm
CANTELLA & CO., INC.
CRD#: 13905 / SEC#: 801-60841, 8-23904
Contact information
FINRA licenses (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,665 |
| AUM (Assets Under Management) | $ 1,929,399,963 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 1 |
| Arbitration | 6 |
| Bond | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2023 | ||
| 11/27/2023 |
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.
