Peter W. Knezevich
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.
Peter William Knezevich II, CFP®, who also goes by Pete Knezevich, Peter William Knezevich, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 2007. Peter had worked at 10 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 17, 2017 - February 14, 2025
CHARLES SCHWAB & CO., INC.
April 17, 2017 - February 14, 2025
CHARLES SCHWAB & CO., INC.
June 15, 2016 - April 5, 2017
CAPITAL ONE ADVISORS, LLC
June 15, 2016 - April 5, 2017
CAPITAL ONE INVESTING, LLC
April 23, 2014 - June 3, 2016
RAYMOND JAMES & ASSOCIATES, INC.
June 21, 2012 - June 3, 2016
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
April 16, 2012 - June 3, 2016
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 11, 2010 - March 16, 2012
USAA FINANCIAL PLANNING SERVICES
September 20, 2010 - March 16, 2012
USAA FINANCIAL ADVISORS, INC.
January 21, 2009 - June 22, 2010
WADDELL & REED
January 13, 2009 - June 22, 2010
WADDELL & REED
August 28, 2007 - October 22, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
August 6, 2007 - October 22, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
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
Current Firm
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHWAB HOLDINGS, INC. | 100% OWNER | |
| BEATTY, JONATHAN SCOTT | DIRECTOR, MANAGING DIRECTOR AND HEAD OF ADVISOR SERVICES | 2429276 |
| CRAIG, JONATHAN M | PRESIDENT, DIRECTOR, MANAGING DIRECTOR AND HEAD OF INVESTOR SERVICES AND MARKETING | 4144656 |
| HATHI, NEESHA K | MANAGING DIRECTOR HEAD OF WEALTH & ADVICE SOLUTIONS | 2648997 |
| HOWARD, DENNIS WILLARD | MANAGING DIRECTOR AND CHIEF INFORMATION OFFICER | 6403083 |
| NICHOLS, CHARLES | MANAGING DIRECTOR AND BROKER DEALER & INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER | 4811434 |
| STARR, JEFFREY HAROLD | MANAGING DIRECTOR, AND OPERATIONAL SERVICES AND PRINCIPAL OPERATIONS OFFICER | 4700461 |
| VERDESCHI, MICHAEL DANIEL | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 4570777 |
Disclosures
| Regulatory Event | 58 |
| Civil Event | 3 |
| Arbitration | 248 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/24/2025 | ||
| 01/19/2024 | ||
| 04/14/2023 |
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.
