Michael G. Knox

LINDEN THOMAS AND COMPANY SECURITIES

CHARLOTTE, NC 28202

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CRD#: 4137196

Professional summary

Michael Guy Knox JR, who also goes by Michael G Knox, Michael Guy Knox, Mike Knox, is a registered financial professional currently at LINDEN THOMAS AND COMPANY SECURITIES, LLC located in Charlotte, North Carolina.

Michael is registered as a RR (Registered Representative) and started their career in finance in 2001. Michael has worked at 5 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Michael G Knox | Michael Guy Knox | Mike Knox

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) - BD

Click below to view Michael Guy Knox JR's CRS (Customer Relationship Summary).

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®

None

Experience

Current

September 20, 2024 - Present

LINDEN THOMAS AND COMPANY SECURITIES, LLC

Office #1: 516 N. Tryon Street, Charlotte, NC 28202

CRD#: 290244

CHARLOTTE, NC

Past

June 2, 2022 - March 4, 2024

CAPITAL INVESTMENT GROUP, INC.

CRD#: 14752

RALEIGH, NC

Past

October 1, 2010 - May 27, 2022

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

March 18, 2004 - October 4, 2010

UVEST FINANCIAL SERVICES GROUP, INC.

CRD#: 13787

CHARLOTTE, NC

Past

July 9, 2001 - February 4, 2004

FORESIDE FUNDS DISTRIBUTORS LLC

CRD#: 31334

PORTLAND, ME

State Registrations and Notice Filings

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

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

North Carolina
(9/20/2024)

Exams

State Security Law Exam

Series 63

Date: 7/30/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/6/2013

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/5/2001

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 5/12/2003

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

LINDEN THOMAS AND COMPANY SECURITIES, LLC

CRD#: 290244 / SEC#: , 8-70026

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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Contact information

Main Address

516 N. Tryon Street, Charlotte, NC 28202

Mailing Address

516 N. Tryon Street, Charlotte, NC 28202

Phone number

(704) 554-8150

Established

North Carolina since 08/29/2017

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (43 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
LINDEN THOMAS AND COMPANY, LLC	MEMBER
HUNT, DAVID LEE	FINOP	2772872
SMITH, DAVID LEON	CCO/ROP/GENERAL SEC & MUNICIPAL PRINCIPAL	2246779
THOMAS, STEPHEN LINDEN	MANAGING PRINCIPAL	1789031

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Michael G. Knox

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Guy Knox JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAPITAL INVESTMENT GROUP, INC.

LPL FINANCIAL LLC

UVEST FINANCIAL SERVICES GROUP, INC.

FORESIDE FUNDS DISTRIBUTORS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/30/2001

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 6/6/2013

Series 6

Date: 7/5/2001

Series 26

Date: 5/12/2003

FINRA

Current Firm

LINDEN THOMAS AND COMPANY SECURITIES, LLC

Contact information

FINRA licenses (43 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

LINDEN THOMAS AND COMPANY SECURITIES, LLC

TRUST BUT VERIFY

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