CK
Christopher A. Knutson
AEGIS CAPITAL
Melville, NY 11747
Some features on this profile are disabled
CRD#: 2997006
CK
Professional summary
Christopher Adam Knutson is a registered financial professional currently at AEGIS CAPITAL CORP. located in Melville, New York.
Christopher is registered as a RR (Registered Representative) and started their career in finance in 1998. Christopher has worked at 13 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Christopher Adam Knutson's 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®
NoneExperience
Current
August 27, 2014 - Present
AEGIS CAPITAL CORP.
Office #1: 1305 Walt Whitman Rd Suite 120, Melville, NY 11747RIA
BD
CRD#: 15007
Melville, NY
Past
November 1, 2010 - September 3, 2014
GLOBAL ARENA CAPITAL CORP
BD
CRD#: 16871
MELVILLE, NY
Past
November 24, 2006 - November 2, 2010
PRESTIGE FINANCIAL CENTER, INC.
BD
CRD#: 30407
MELVILLE, NY
Past
April 27, 2004 - November 27, 2006
S.W. BACH & COMPANY
BD
CRD#: 43522
PORT WASHINGTON, NY
Past
October 22, 2002 - April 27, 2004
HARRISON SECURITIES, INC.
BD
CRD#: 14103
PORT WASHINGTON, NY
Past
June 3, 2002 - September 13, 2002
CELADON FINANCIAL GROUP LLC
BD
CRD#: 36538
MORRISTOWN, NJ
Past
October 22, 2001 - March 14, 2002
GILFORD SECURITIES INCORPORATED
BD
CRD#: 8076
NEW YORK, NY
Past
June 13, 2001 - November 5, 2001
FIRST EMPIRE SECURITIES, INC.
BD
CRD#: 15129
HAUPPAUGE, NY
Past
April 5, 2000 - February 12, 2001
BURLINGTON CAPITAL MARKETS INC.
BD
CRD#: 26991
NEW YORK, NY
Past
August 26, 1999 - March 28, 2000
LADENBURG THALMANN & CO. INC.
BD
CRD#: 505
NEW YORK, NY
Past
December 15, 1998 - August 31, 1999
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
June 11, 1998 - January 7, 1999
LADENBURG THALMANN & CO. INC.
BD
CRD#: 505
NEW YORK, NY
Past
March 27, 1998 - April 8, 1998
CONTINENTAL BROKER-DEALER CORP.
BD
CRD#: 14048
CARLE PLACE, NY
Past
March 27, 1998 - June 12, 1998
LADENBURG CAPITAL MANAGEMENT INC.
BD
CRD#: 14623
BETHPAGE, 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".
AC
AEGIS CAPITAL CORP.
AEGIS CAPITAL CORP. | VAST WEALTH ADVISORS | STERNAEGIS VENTURES | STANDARD INTEGRITY WEALTH MANAGEMENT, LLC | SILVESTRI ASSET MANAGEMENT LLC | RIWM LLC | RG BAR INVESTMENT GROUP | PAYNE LEGACY FINANCIAL | PAR FINANCIAL | MEL CAPITAL | MARC JACOBSON & ASSOCIATES | LARCHMONT WEALTH MANAGEMENT | KS CAPITAL MANAGEMENT | FARMER FINANCIAL | DYNAMIC CAPITAL HOLDING | BOGART VALUE PARTNERS | BLUE ANCHOR WEALTH MANAGEMENT | AMERICAN LEGACY WEALTH MANAGEMENT | ALPHA STRATEGIC ADVISORS
CRD#: 15007 / SEC#: 801-71386, 8-31616
RIA
Registered Investment Advisory firm - SEC (5/10/2010 Approved)California
Registered Investment Advisory firm - SEC (5/26/2010 Terminated)Connecticut
Registered Investment Advisory firm - SEC (6/11/2010 Terminated)District of Columbia
Registered Investment Advisory firm - SEC (1/12/2011 Terminated)Florida
Registered Investment Advisory firm - SEC (6/11/2010 Terminated)Georgia
Registered Investment Advisory firm - SEC (6/11/2010 Terminated)Kentucky
Registered Investment Advisory firm - SEC (6/21/2011 Terminated)Louisiana
Registered Investment Advisory firm - SEC (11/5/2014 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (10/28/2014 Terminated)Minnesota
Registered Investment Advisory firm - SEC (11/7/2014 Terminated)Nevada
Registered Investment Advisory firm - SEC (12/5/2014 Terminated)New Jersey
Registered Investment Advisory firm - SEC (6/1/2010 Terminated)New York
Registered Investment Advisory firm - SEC (6/11/2010 Terminated)North Carolina
Registered Investment Advisory firm - SEC (6/11/2010 Terminated)Virginia
Registered Investment Advisory firm - SEC (2/23/2011 Terminated)Washington
Registered Investment Advisory firm - SEC (9/15/2014 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (9/13/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
RR
Alabama(8/27/2014)
RR
Alaska(9/10/2014)
RR
Arizona(8/27/2014)
RR
Arkansas(9/10/2014)
RR
California(8/27/2014)
RR
Colorado(8/27/2014)
RR
Connecticut(9/4/2014)
RR
Delaware(9/22/2014)
RR
District of Columbia(8/27/2014)
RR
Florida(8/27/2014)
RR
Georgia(8/27/2014)
RR
Hawaii(8/27/2014)
RR
Idaho(8/27/2014)
RR
Illinois(8/27/2014)
RR
Indiana(9/10/2014)
RR
Iowa(9/9/2014)
RR
Kansas(8/27/2014)
RR
Kentucky(8/27/2014)
RR
Louisiana(8/27/2014)
RR
Maine(8/27/2014)
RR
Maryland(8/27/2014)
RR
Massachusetts(8/27/2014)
RR
Michigan(8/27/2014)
RR
Minnesota(8/27/2014)
RR
Mississippi(8/27/2014)
RR
Missouri(8/27/2014)
RR
Montana(8/29/2014)
RR
Nebraska(8/27/2014)
RR
Nevada(8/27/2014)
RR
New Hampshire(8/27/2014)
RR
New Jersey(8/27/2014)
RR
New Mexico(8/27/2014)
RR
New York(8/27/2014)
RR
North Carolina(8/27/2014)
RR
North Dakota(8/27/2014)
RR
Ohio(8/27/2014)
RR
Oklahoma(9/9/2014)
RR
Oregon(8/28/2014)
RR
Pennsylvania(9/8/2014)
RR
Puerto Rico(8/27/2014)
RR
Rhode Island(8/27/2014)
RR
South Carolina(8/27/2014)
RR
South Dakota(8/27/2014)
RR
Tennessee(1/22/2024)
RR
Texas(9/19/2014)
RR
Utah(8/27/2014)
RR
Vermont(8/27/2014)
RR
Virgin Islands(8/27/2014)
RR
Virginia(8/27/2014)
RR
Washington(9/10/2014)
RR
West Virginia(8/27/2014)
RR
Wisconsin(8/27/2014)
RR
Wyoming(8/27/2014)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
AC
AEGIS CAPITAL CORP.
AEGIS CAPITAL CORP. | VAST WEALTH ADVISORS | STERNAEGIS VENTURES | STANDARD INTEGRITY WEALTH MANAGEMENT, LLC | SILVESTRI ASSET MANAGEMENT LLC | RIWM LLC | RG BAR INVESTMENT GROUP | PAYNE LEGACY FINANCIAL | PAR FINANCIAL | MEL CAPITAL | MARC JACOBSON & ASSOCIATES | LARCHMONT WEALTH MANAGEMENT | KS CAPITAL MANAGEMENT | FARMER FINANCIAL | DYNAMIC CAPITAL HOLDING | BOGART VALUE PARTNERS | BLUE ANCHOR WEALTH MANAGEMENT | AMERICAN LEGACY WEALTH MANAGEMENT | ALPHA STRATEGIC ADVISORS
CRD#: 15007 / SEC#: 801-71386, 8-31616
RIA
Registered Investment Advisory firm - SEC (5/10/2010 Approved)California
Registered Investment Advisory firm - SEC (5/26/2010 Terminated)Connecticut
Registered Investment Advisory firm - SEC (6/11/2010 Terminated)District of Columbia
Registered Investment Advisory firm - SEC (1/12/2011 Terminated)Florida
Registered Investment Advisory firm - SEC (6/11/2010 Terminated)Georgia
Registered Investment Advisory firm - SEC (6/11/2010 Terminated)Kentucky
Registered Investment Advisory firm - SEC (6/21/2011 Terminated)Louisiana
Registered Investment Advisory firm - SEC (11/5/2014 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (10/28/2014 Terminated)Minnesota
Registered Investment Advisory firm - SEC (11/7/2014 Terminated)Nevada
Registered Investment Advisory firm - SEC (12/5/2014 Terminated)New Jersey
Registered Investment Advisory firm - SEC (6/1/2010 Terminated)New York
Registered Investment Advisory firm - SEC (6/11/2010 Terminated)North Carolina
Registered Investment Advisory firm - SEC (6/11/2010 Terminated)Virginia
Registered Investment Advisory firm - SEC (2/23/2011 Terminated)Washington
Registered Investment Advisory firm - SEC (9/15/2014 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (9/13/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
1345 Avenue Of The Americas 27th Floor, New York, NY 10105
Mailing Address
1345 Avenue Of The Americas 27th Floor, New York, NY 10105
Phone number
(212) 813-1010
Established
New York since 01/15/1984
Firm type
Corporation
Fiscal year end
November
Firm Size
Medium
# of Employees
270
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AEGIS CAPITAL HOLDING CORP. | HOLDING COMPANY | |
| EIDE, ROBERT JAY | CEO, SECRETARY, CLO, DIRECTOR | 1015261 |
| FEINMAN, ROBERT STEVEN | CHIEF COMPLIANCE OFFICER | 205708 |
| KOTT, GEORGE GREGORY | CHIEF OPERATING OFFICER | 2876578 |
| MCKENNA, FRANCIS J | MUNICIPAL PRINCIPAL | 4825383 |
| MILLER, JOHN STEVENSON | CO-FINOP | 2139980 |
| POSS, THOMAS CHAMPNEY | CHIEF FINANCIAL OFFICER, CO-FINOP | 2547521 |
Regulatory assets under management
| Total Number of Accounts | 2,760 |
| AUM (Assets Under Management) | $ 1,430,612,106 |
Disclosures
| Regulatory Event | 40 |
| 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.
