SK
Susan M. Knight
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CRD#: 5714454
SK
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.
Susan M Knight, who also goes by Susi Knight, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 2009. Susan had worked at 2 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Susi Knight
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.
I*71205 FOR-PROFIT ORGANIZATION NAME: SMK INVESTMENTS INVESTMENT RELATED: N ADDRESS: HOUSTON, TEXAS 77019 NATURE: OTHER,DOING BUSINESS AS POSITION: OWNER, START DATE: 1/1/2002 NUMBER OF HOURS DEVOTED: 8 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: THIS ENTITY IS FOR 2 RENTAL PROPERTIES THAT I MANAGE AND RENT, BOTH PROPERTIES ARE LOCATED AT 19 CRESTWOOD, HOUSTON, TX 77007. I ALSO RENT OUT A ROOM IN MY HOME THROUGH AIR BNB. I*56709 NON-PROFIT ORGANIZATION NAME: THE WOMENS RESOURCE OF GREATER HOUSTON INVESTMENT RELATED: Y ADDRESS: HOUSTON, TEXAS 77024 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION: COMMITTEE MEMBER, VOLUNTEER START DATE: 8/1/2011 NUMBER OF HOURS DEVOTED: 2 HOUR(S) QUARTERLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 2 DUTIES: THE WOMEN'S RESOURCE IS PROVIDER OF FREE FINANCIAL EDUCATION CLASSES IN GREATER HOUSTON AREA AND THE ONLY WITH A SPECIFIC FOCUS ON WOMEN AND GIRLS. I TEACH PERSONAL CLASSES THAT ARE BASED ON FDIC MONEY SMART AND US DEPARTMENT LABOR WISE UP CURRICULA I*428800 For profit or not for profit: Entity For Profit Name of outside business organization: Womens Energy Network Investment related: N Address of business: Houston, Texas, 77056 Nature of business: ["Charitable Organization"] Position, title, association: ["Board Member","Committee","Treasurer"], [["Other"]] Start date of relationship: 6/3/2013 Number of hours devoted: 0.67 hour(s) Monthly Number of hours devoted during trading hours: 0.67 Duties: Greeter, Executive Membership Events Chair I*71205 FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: SMK INVESTMENTS INVESTMENT RELATED: N ADDRESS OF BUSINESS: HOUSTON, TEXAS 77007 NATURE OF BUSINESS: OTHER,DOING BUSINESS AS POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 1/1/2002 NUMBER OF HOURS DEVOTED: 1 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: THIS ENTITY IS FOR A RENTAL PROPERTY AND I MANAGE AND RENT THE PROPERTY. I*116989 For profit or not for profit: Non-Profit Organization Name of outside business organization: Interfaith Ministries Investment related: N Address of business: Houston, Texas 77002 Nature of business: Charitable Organization, Position, title, association: Committee Member, Start date of relationship: 4/2/2018 Number of hours devoted: 4 hour(s) Monthly Number of hours devoted during trading hours: 2 Duties: For more than 50 years Interfaith Ministries for Greater Houston has united people of all faiths to provide services to citizens of the Greater Houston. Provide support and leadership for Dinner Dialogues and support Women's Initiative I*425757 For profit or not for profit: Entity Charitable Name of outside business organization: 5050 Women On Boards Investment related: N Address of business: Los Angeles, California, 90012 Nature of business: ["Charitable Organization"] Position, title, association: ["Committee","Treasurer"], [["Other"]] Start date of relationship: 3/4/2019 Number of hours devoted: 10 hour(s) Monthly Number of hours devoted during trading hours: 5 Duties: , Our signature fundraising event, The National Conversation on Board Diversity is held annually on a single day in locations across the country and targeted international cities. In 2019, the date is November 21, 2019 I*427423 For profit or not for profit: Entity For Profit Name of outside business organization: Knights Consulting Investment related: N Address of business: Houston, Texas, 77019 Nature of business: ["Limited Liability Company"] Position, title, association: ["Other","Treasurer"], Start date of relationship: 1/1/2021 Number of hours devoted: 10 hour(s) Monthly Number of hours devoted during trading hours: 10 Duties: Part-Time, The purpose of this entity is to provide "life" coaching & mentoring services not related to financial services I*438184 For profit or not for profit: Entity For Profit Name of outside business organization: Greater Houston Partnership Investment related: N Addres
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
April 5, 2012 - August 2, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
HOUSTON, TX
Past
April 5, 2012 - August 2, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
HOUSTON, TX
Past
December 15, 2009 - May 4, 2012
MORGAN STANLEY
RIA
CRD#: 149777
HOUSTON, TX
Past
November 11, 2009 - May 4, 2012
MORGAN STANLEY
BD
CRD#: 149777
HOUSTON, TX
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
MERRILL LYNCH PIERCE FENNER & SMITH | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | MERRILL LYNCH PIERCE FENNER & SMITH INC.
CRD#: 7691 / SEC#: 801-14235, 8-7221
RIA
Registered Investment Advisory firm - SEC (12/8/1978 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
MERRILL LYNCH PIERCE FENNER & SMITH | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | MERRILL LYNCH PIERCE FENNER & SMITH INC.
CRD#: 7691 / SEC#: 801-14235, 8-7221
RIA
Registered Investment Advisory firm - SEC (12/8/1978 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
One Bryant Park, New York, NY 10036
Mailing Address
150 N College St Nc1-028-29-04, Charlotte, NC 28255
Phone number
(800) 637-7455
Established
Delaware since 11/10/1958
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
33,689
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
