NK
Nicholas A. Knoblauch
INVESCO ADVISERS
DOWNERS GROVE, IL 60515
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CRD#: 5889685
NK
Professional summary
Nicholas A Knoblauch, who also goes by Nicholas Alan Knoblauch, is a registered financial advisor currently at INVESCO ADVISERS, INC. located in Downers Grove, Illinois and INVESCO DISTRIBUTORS, INC. located in Downers Grove, Illinois.
Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Nicholas has worked at 2 firms and has passed the Series 66, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nicholas Alan Knoblauch
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.
EUREKA COLLEGE; NOT INVESTMENT RELATED; 300 EAST COLLEGE AVENUE, EUREKA, IL 61530, USA; COLLEGE EDUCATION; ALUMNI BOARD - AT-LARGE MEMBER; START: 01/2022; 5HRS/MO, NOT DURING TRADING HOURS; ATTEND AND ACTIVELY PARTICIPATE IN QUARTERLY MEETINGS, BE A KNOWLEDGEABLE AND POSITIVE AMBASSADOR FOR EC AND THE ALUMNI ASSOCIATION, ATTEND HOMECOMING AND OTHER MAJOR COLLEGE EVENTS AS POSSIBLE, ATTEND REGIONAL ALUMNI ASSOCIATION AND COLLEGE EVENTS IN YOUR COMMUNITY/REGION AS POSSIBLE, INITIATE OUTREACH TO AND SEEKING ENGAGEMENT WITH FELLOW ALUMNI THROUGH PROGRAMS AND EVENTS, SUGGESTED IN-KIND OR MONETARY GIFT TO EUREKA COLLEGE TO TOTAL $200+ EACH YEAR OF MEMBERSHIP. FO
CRS (Client Relationship Summary) - RIA
Click below to view Nicholas A Knoblauch'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
November 4, 2020 - Present
INVESCO ADVISERS, INC.
Office #1: 3500 Lacey Road Suite 700, Downers Grove, IL 60515RIA
CRD#: 105360
DOWNERS GROVE, IL
Current
November 4, 2020 - Present
INVESCO DISTRIBUTORS, INC.
Office #1: 3500 Lacey Road Suite 700, Downers Grove, IL 60515BD
CRD#: 7369
Downers Grove, IL
Past
January 24, 2013 - October 2, 2020
INVESCO ADVISERS, INC.
RIA
CRD#: 105360
DOWNERS GROVE, IL
Past
June 17, 2011 - October 2, 2020
INVESCO DISTRIBUTORS, INC.
BD
CRD#: 7369
DOWNERS GROVE, IL
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".
IA
INVESCO ADVISERS, INC.
INVESCO ADVISERS, INC. | INVESCO, INC | INVESCO INSTITUTIONAL (N.A.), INC.
CRD#: 105360 / SEC#: 801-33949
RIA
Registered Investment Advisory firm - (12/30/1988 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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(11/4/2020)
RR
Alaska(11/4/2020)
RR
Arizona(11/4/2020)
RR
Arkansas(11/4/2020)
RR
California(11/4/2020)
RR
Colorado(11/4/2020)
RR
Connecticut(11/4/2020)
RR
Delaware(11/4/2020)
RR
District of Columbia(11/4/2020)
RR
Florida(11/4/2020)
RR
Georgia(11/4/2020)
RR
Hawaii(11/4/2020)
RR
Idaho(11/4/2020)
RR
Illinois(11/4/2020)
RR
Indiana(11/4/2020)
RR
Iowa(11/4/2020)
RR
Kansas(11/4/2020)
RR
Kentucky(11/4/2020)
RR
Louisiana(11/4/2020)
RR
Maine(11/4/2020)
RR
Maryland(11/4/2020)
RR
Massachusetts(11/4/2020)
RR
Michigan(11/4/2020)
RR
Minnesota(11/4/2020)
RR
Mississippi(11/4/2020)
RR
Missouri(11/4/2020)
RR
Montana(11/4/2020)
RR
Nebraska(11/4/2020)
RR
Nevada(11/4/2020)
RR
New Hampshire(11/4/2020)
RR
New Jersey(11/4/2020)
RR
New Mexico(11/4/2020)
RR
New York(11/4/2020)
RR
North Carolina(11/4/2020)
RR
North Dakota(11/4/2020)
RR
Ohio(11/5/2020)
RR
Oklahoma(11/4/2020)
RR
Oregon(11/4/2020)
RR
Pennsylvania(11/4/2020)
RR
Puerto Rico(11/4/2020)
RR
Rhode Island(11/4/2020)
RR
South Carolina(11/4/2020)
RR
South Dakota(11/4/2020)
RR
Tennessee(11/4/2020)
RR
Texas(11/4/2020)
IAR
Texas(11/4/2020)
RR
Utah(11/4/2020)
RR
Vermont(11/4/2020)
RR
Virgin Islands(11/4/2020)
RR
Virginia(11/4/2020)
RR
Washington(11/4/2020)
RR
West Virginia(11/4/2020)
RR
Wisconsin(11/4/2020)
RR
Wyoming(11/4/2020)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
IA
INVESCO ADVISERS, INC.
INVESCO ADVISERS, INC. | INVESCO, INC | INVESCO INSTITUTIONAL (N.A.), INC.
CRD#: 105360 / SEC#: 801-33949
RIA
Registered Investment Advisory firm - (12/30/1988 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1331 Spring Street Nw Suite 2500, Atlanta, GA 30309
Mailing Address
11 Greenway Plaza Suite 1000, Houston, TX 77046
Phone number
(404) 892-0896
Established
Firm type
Fiscal year end
# of Employees
2,872
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 61,236 |
| AUM (Assets Under Management) | $ 756,881,223,229 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/27/2024 | ||
| 10/27/2023 |
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.
