Geoffrey B. 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.
Geoffrey Baker Knapp, who also goes by Geoffrey Knapp, was a registered financial professional .
Geoffrey is a previously registered financial professional and started their career in finance in 1997. Geoffrey had worked at 10 firms and has passed the Series 63, Series 66, 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
January 19, 2017 - September 27, 2017
ANOS CAPITAL, LLC
January 8, 2015 - June 3, 2015
U.S. STERLING SECURITIES, INC.
September 7, 2011 - December 31, 2012
WESTPORT CAPITAL MARKETS, LLC
July 15, 2011 - December 31, 2012
WESTPORT CAPITAL MARKETS, LLC
December 23, 2009 - August 5, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 8, 2009 - August 5, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 14, 2009 - December 3, 2009
LEDGEMONT CAPITAL MARKETS LLC
October 17, 2006 - May 6, 2008
FORESIDE FUND SERVICES, LLC
February 1, 2005 - October 10, 2006
RAYMOND JAMES & ASSOCIATES, INC.
February 6, 2004 - February 11, 2005
RBC CAPITAL MARKETS CORPORATION
June 28, 2000 - February 6, 2004
RBC CAPITAL MARKETS, LLC
August 15, 1997 - July 10, 2000
LEHMAN BROTHERS INC.
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
ANOS CAPITAL, LLC
CRD#: 284714 / SEC#: , 8-69809
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ANOS HOLDINGS, LLC | OWNER | |
| DALLAL, JEFFREY HARON | PRESIDENT/CHIEF OPERATING OFFICER | 2316096 |
| DANIELE, EDWARD ROBERT | CHIEF COMPLIANCE OFFICER/AML OFFICER | 1224878 |
| EMMERICH, CLIFFORD GENNARO | SENIOR MANAGING DIRECTOR HEAD OF SALES AND TRADING | 2412767 |
| IANNUCCI, MICHAEL CHRISTOPHER | IA TRANSITION MANAGEMENT | 4709972 |
| PAPATSOS, JOHN NICK | FINOP | 4416912 |
| RIVELLI, DOUGLAS DUVALL | CHIEF EXECUTIVE OFFICER | 2174199 |
Red Flags
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