Lerry J. 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.
Lerry James Knox JR, who also goes by Lerry Knox, was a registered financial professional .
Lerry is a previously registered financial professional and started their career in finance in 2004. Lerry had worked at 4 firms and has passed the Series 63, Series 7TO, SIE, Series 50, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 24, 2024 - October 31, 2024
REGIMENT SECURITIES, LLC.
October 7, 2021 - December 19, 2022
GAR WOOD SECURITIES, LLC
April 30, 2007 - March 15, 2012
LOOP CAPITAL MARKETS LLC
October 14, 2004 - May 14, 2007
GOLDMAN SACHS & CO. LLC
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 7TO
Date: 10/7/2021
General Securities Representative ExaminationCurrent Firm
REGIMENT SECURITIES, LLC.
CRD#: 311302 / SEC#: , 8-70607
Contact information
FINRA licenses (33 States and Territories)
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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