John T. Knowlton

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CRD#: 3156314

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.

John Thomas Knowlton JR, who also goes by John Thomas Knowlton, was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1998. John had worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

John Thomas Knowlton

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.

Blog Corner

CRS (Client Relationship Summary)

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

PORTAGE, MI

Past

December 7, 1998 - July 3, 2006

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

December 7, 1998 - October 28, 2009

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

PORTAGE, MI

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".

CX INSTITUTIONAL, LLC

CREDENT WEALTH MANAGEMENT | CX WEALTH DIRECT | CX INSTITUTIONAL, LLC

CRD#: 292627 / SEC#: 801-112742

RIA

Registered Investment Advisory firm - (3/1/2018 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 12/7/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/1/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/3/2000

General Securities Principal Examination

Current Firm

CX INSTITUTIONAL, LLC

CREDENT WEALTH MANAGEMENT | CX WEALTH DIRECT | CX INSTITUTIONAL, LLC

CRD#: 292627 / SEC#: 801-112742

RIA

Registered Investment Advisory firm - (3/1/2018 Approved)

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Contact information

Main Address

200 East 7th Street, Auburn, IN 46706

Mailing Address

Phone number

(260) 927-1830

Established

Firm type

Fiscal year end

# of Employees

106

SEC notice filing (42 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WRAP FEE BROCHURE (10/14/2025)

ADV PART 2A (10/14/2025)

Regulatory assets under management

Total Number of Accounts	14,284
AUM (Assets Under Management)	$ 4,121,239,331

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Firm Stability Insights

John T. Knowlton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

OAK POINT WEALTH MANAGEMENT, LLC

OAK POINT FINANCIAL GROUP

LPL FINANCIAL LLC

LPL FINANCIAL LLC

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

CX INSTITUTIONAL, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/7/1998

SIE

Date: 10/1/2018

Series 7

Date: 12/1/1998

Series 24

Date: 11/3/2000

Current Firm

CX INSTITUTIONAL, LLC

Contact information

SEC notice filing (42 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CX INSTITUTIONAL, LLC

TRUST BUT VERIFY

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