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JK

James B. Knight

BHK INVESTMENT ADVISORS
Birmingham, AL 35209-8803
Some features on this profile are disabled
CRD#: 2787109
JK

Professional summary

James Bailey Knight, who also goes by James Bailey Knight III, James Bailey III Knight, is a registered financial advisor currently at BHK INVESTMENT ADVISORS located in Birmingham, Alabama and BHK SECURITIES, LLC located in Birmingham, Alabama.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. James has worked at 5 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, SIE, Series 3, Series 7, Series 14, Series 24, Series 53, Series 4, Series 23, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

James Bailey Knight Iii | James Bailey Iii Knight

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.
(1) Mountain Brook Country Club, 19 Beechwood Rd, Birmingham AL, Business in not investment related, Country Club, Vice President started 1/1/2020, Devote 4hrs/month outside of securities trading hours, Duties: Board oversight. (2) Childrens Aid Society, Non-Investment related, Birmingham AL, Board member since 2002, 2 hours/month, 0 hours/month during securities trading hours. General Board member

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Bailey Knight's CRS (Customer Relationship Summary).
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®
None

Experience

Current

May 17, 2006 - Present

BHK INVESTMENT ADVISORS

Office #1: 2200 Lakeshore Drive Suite 250, Birmingham, AL 35209-8803
RIA
CRD#: 140515
Birmingham, AL
Current

July 3, 2007 - Present

BHK SECURITIES, LLC

Office #1: 2200 Lakeshore Drive Suite 250, Birmingham, AL 35209
RIA
BD
CRD#: 139665
Birmingham, AL
Current

June 14, 2006 - Present

BHK SECURITIES, LLC

Office #1: 2200 Lakeshore Drive Suite 250, Birmingham, AL 35209
RIA
BD
CRD#: 139665
Birmingham, AL
Past

February 2, 2000 - April 28, 2006

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
HOMEWOOD, AL
Past

October 25, 1999 - April 28, 2006

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

January 6, 1998 - November 1, 1999

THE ROBINSON-HUMPHREY COMPANY, LLC

BD
CRD#: 723
ATLANTA, GA
Past

October 3, 1996 - January 23, 1998

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY

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".
BI
BHK INVESTMENT ADVISORS
BHK INVESTMENT ADVISORS | BHK INVESTMENT ADVISORS, LLC

CRD#: 140515 / SEC#: 801-66669

RIA
Registered Investment Advisory firm - (5/17/2006 Approved)

State Registrations and Notice Filings

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

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
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

IAR
Alabama
(5/17/2006)
RR
Alabama
(6/28/2006)
RR
California
(1/29/2025)
RR
Florida
(8/12/2006)
RR
Georgia
(6/28/2006)
RR
Indiana
(6/20/2025)
RR
Louisiana
(5/26/2021)
IAR
Louisiana
(12/6/2021)
RR
Montana
(5/9/2017)
RR
South Carolina
(8/8/2013)
RR
Tennessee
(7/19/2006)
RR
Texas
(8/30/2006)
IAR
Texas
(7/3/2007)
RR
Virginia
(6/28/2006)
RR
Washington
(5/28/2019)

Exams

State Security Law Exam
IAR
Series 65
Date: 10/24/1996
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/4/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 2/5/1998
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 10/2/1996
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/2/2023
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 12/8/2005
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 11/17/2005
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 23
Date: 5/24/2005
General Securities Principal Sales Supervisor
Principal/Supervisory Exam
RR
Series 10
Date: 5/14/2002
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 5/10/2002
General Securities Sales Supervisor - Options Module Examination
SRO Registrations
RR
FINRA

Current Firm

BI
BHK INVESTMENT ADVISORS
BHK INVESTMENT ADVISORS | BHK INVESTMENT ADVISORS, LLC

CRD#: 140515 / SEC#: 801-66669

RIA
Registered Investment Advisory firm - (5/17/2006 Approved)
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Contact information

Main Address
2200 Lakeshore Drive Suite 250, Birmingham, AL 35209-8803
Mailing Address
Phone number
(205) 322-2025
Established
Firm type
Fiscal year end
# of Employees
7

SEC notice filing (6 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

PART 2A (3/24/2025)

Regulatory assets under management

Total Number of Accounts751
AUM (Assets Under Management)$ 755,759,558

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
03/31/2025
Cover Page
Report
02/27/2024
Cover Page
Report
02/27/2023
Cover Page
Report

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

BHK INVESTMENT ADVISORS

CRD#: 140515Birmingham, AL 35209-8803

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