Richard A. Mcknight
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.
Richard Alan Mcknight, who also goes by Rich Mcknight, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1997. Richard had worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 2, 2007 - March 29, 2018
FFEC WEALTH PARTNERS LLC
September 4, 2007 - March 29, 2018
FFEC WEALTH PARTNERS LLC
November 15, 2002 - September 25, 2007
B. C. ZIEGLER AND COMPANY
October 24, 2001 - November 19, 2002
THE ADVISORS GROUP, INC.
July 3, 2000 - September 17, 2001
PRINCIPAL SECURITIES, INC.
February 19, 1997 - January 19, 2000
IDS LIFE INSURANCE COMPANY
February 19, 1997 - January 19, 2000
AMERIPRISE FINANCIAL SERVICES, 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
Current Firm
FFEC WEALTH PARTNERS LLC
CRD#: 16507 / SEC#: 801-63970, 8-34082
Contact information
Regulatory assets under management
| Total Number of Accounts | 5,755 |
| AUM (Assets Under Management) | $ 2,371,850,816 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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.
