KK
Kevin M. Knowles
RUSSELL INVESTMENTS FINANCIAL SERVICES
SEATTLE, WA 98101
Some features on this profile are disabled
CRD#: 5202162
KK
Professional summary
Kevin M Knowles is a registered financial professional currently at RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC located in Seattle, Washington.
Kevin is registered as a RR (Registered Representative) and started their career in finance in 2008. Kevin has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary) - BD
Click below to view Kevin M Knowles's 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®
NoneExperience
Current
May 16, 2017 - Present
RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC
Office #1: 401 Union St 18th Floor, Seattle, WA, 98101BD
CRD#: 21771
SEATTLE, WA
Past
June 15, 2016 - May 15, 2017
RUSSELL INVESTMENTS IMPLEMENTATION SERVICES, LLC
BD
CRD#: 329
New York, NY
Past
May 1, 2013 - June 15, 2016
RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC
BD
CRD#: 21771
NEW YORK, NY
Past
May 16, 2008 - April 15, 2013
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
BD
CRD#: 25567
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alabama(5/16/2017)
RR
Alaska(5/16/2017)
RR
Arizona(5/16/2017)
RR
Arkansas(5/16/2017)
RR
California(5/16/2017)
RR
Colorado(5/16/2017)
RR
Connecticut(5/16/2017)
RR
Delaware(5/16/2017)
RR
District of Columbia(5/16/2017)
RR
Florida(5/16/2017)
RR
Georgia(5/16/2017)
RR
Hawaii(5/16/2017)
RR
Idaho(5/16/2017)
RR
Illinois(5/16/2017)
RR
Indiana(5/16/2017)
RR
Iowa(5/16/2017)
RR
Kansas(5/16/2017)
RR
Kentucky(5/16/2017)
RR
Louisiana(5/16/2017)
RR
Maine(5/16/2017)
RR
Maryland(5/16/2017)
RR
Massachusetts(5/16/2017)
RR
Michigan(5/16/2017)
RR
Minnesota(5/16/2017)
RR
Mississippi(5/16/2017)
RR
Missouri(5/16/2017)
RR
Montana(5/16/2017)
RR
Nebraska(5/16/2017)
RR
Nevada(5/16/2017)
RR
New Hampshire(5/16/2017)
RR
New Jersey(5/16/2017)
RR
New Mexico(5/16/2017)
RR
New York(5/16/2017)
RR
North Carolina(5/16/2017)
RR
North Dakota(5/16/2017)
RR
Ohio(5/16/2017)
RR
Oklahoma(5/16/2017)
RR
Oregon(5/16/2017)
RR
Pennsylvania(5/16/2017)
RR
Puerto Rico(5/16/2017)
RR
Rhode Island(5/16/2017)
RR
South Carolina(5/16/2017)
RR
South Dakota(5/16/2017)
RR
Tennessee(7/5/2018)
RR
Texas(5/16/2017)
RR
Utah(5/16/2017)
RR
Vermont(5/16/2017)
RR
Virgin Islands(5/16/2017)
RR
Virginia(5/16/2017)
RR
Washington(5/16/2017)
RR
West Virginia(5/16/2017)
RR
Wisconsin(5/16/2017)
RR
Wyoming(5/16/2017)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
RI
RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC
RUSSELL FINANCIAL SERVICES, INC. | RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC | RUSSELL INVESTMENTS | RUSSELL FUND DISTRIBUTORS, INC., PART OF RUSSELL INVESTMENTS | RUSSELL FUND DISTRIBUTORS, INC. PART OF RUSSELL INVESTMENT GROUP | RUSSELL FUND DISTRIBUTORS, INC. | RUSSELL FINANCIAL SERVICES, INC., PART OF RUSSELL INVESTMENTS
CRD#: 21771 / SEC#: , 8-39227
BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
401 Union St 18th Floor, Seattle, WA, 98101
Mailing Address
401 Union St 18th Floor, Seattle, WA, 98101
Phone number
(206) 505-7877
Established
Washington since 06/02/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RUSSELL INVESTMENT MANAGEMENT, LLC | CORPORATE PARENT OF APPLICANT | |
| ALVAREZ, CARLOS CID | US BROKER-DEALER CHIEF COMPLIANCE OFFICER | 5689384 |
| ERICKSON, ROSS EDWARD | DIRECTOR | 3003283 |
| JUNG, BRAD EDWARD | CHAIRMAN AND PRESIDENT | 2419757 |
| SIEGEL, DAVID ANDREW | FINANCIAL AND OPERATIONS PRINCIPAL | 7440274 |
| SURLOFF, HOWARD BRIAN | CHIEF LEGAL OFFICER | 7525747 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
