Thomas A. Knutson
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.
Thomas Arthur Knutson was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2000. Thomas had worked at 10 firms and has passed the Series 63, 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
December 19, 2013 - November 28, 2014
K.C. WARD FINANCIAL
August 15, 2011 - January 17, 2012
BMA SECURITIES, LLC
October 28, 2008 - August 28, 2009
AMERICAN CAPITAL PARTNERS, LLC
July 14, 2006 - November 27, 2006
S.W. BACH & COMPANY
December 17, 2004 - April 28, 2005
OSAIC WEALTH, INC.
December 10, 2002 - January 29, 2003
HARRISON SECURITIES, INC.
September 5, 2001 - October 4, 2001
FULCRUM GLOBAL PARTNERS LLC
May 11, 2001 - August 21, 2001
CHAPDELAINE CORPORATE SECURITIES & CO
November 20, 2000 - May 7, 2001
STERLING FINANCIAL INVESTMENT GROUP, INC.
September 20, 2000 - November 20, 2000
JOSEPH CHARLES & ASSOC., INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
K.C. WARD FINANCIAL
CRD#: 145135 / SEC#: , 8-67706
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Red Flags
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