Wilfred J. Knapp
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.
Wilfred Julius Knapp JR, who also goes by Fred Julius Knapp Jr, Fred Juluis Knapp Jr, was a registered financial professional .
Wilfred is a previously registered financial professional and started their career in finance in 1996. Wilfred had worked at 7 firms and has passed the Series 63, Series 7 and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 14, 1999 - October 15, 1999
DALTON KENT SECURITIES GROUP, INC.
October 14, 1999 - July 2, 2001
EASTBROOK CAPITAL GROUP LLC
December 8, 1998 - December 15, 1998
J. P. GIBBONS & CO., INC.
July 30, 1998 - September 10, 1998
BLUESTONE CAPITAL CORP.
December 22, 1997 - April 6, 1998
ANDREW, ALEXANDER, WISE & COMPANY INCORPORATED
August 9, 1996 - September 10, 1996
ARGENT SECURITIES, INC.
July 1, 1996 - August 2, 1996
TUSCANY EQUITY MANAGEMENT CORPORATI0N
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 62
Date: 6/11/1996
Corporate Securities Limited Representative ExaminationCurrent Firm
DALTON KENT SECURITIES GROUP, INC.
CRD#: 38813 / SEC#: , 8-48435
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
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.
