Charles G. Knox
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.
Charles Gregory Knox, who also goes by Charles G Knox, Greg Knox, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 2000. Charles had worked at 5 firms and has passed the Series 63, Series 65, SIE, Series 79, Series 55 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 6, 2022 - December 31, 2022
FINANCIAL ADVISOR AUSTIN WEALTH MANAGEMENT, LLC
February 1, 2016 - January 29, 2018
MCLEAN SECURITIES, LLC
July 9, 2012 - December 31, 2019
FINANCIAL ADVISOR AUSTIN WEALTH MANAGEMENT, LLC
July 1, 2003 - February 14, 2008
WELLS FARGO SECURITIES, LLC
June 9, 2000 - July 1, 2003
WELLS FARGO CLEARING SERVICES, LLC
February 9, 2000 - July 7, 2000
DEUTSCHE BANK SECURITIES 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
Series 55
Date: 12/20/2001
Limited Representative-Equity Trader ExamCurrent Firm
FINANCIAL ADVISOR AUSTIN WEALTH MANAGEMENT, LLC
CRD#: 162266 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 1 |
| AUM (Assets Under Management) | $ 125,000 |
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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