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BK

Bradley E. Knight

Some features on this profile are disabled
CRD#: 5920431
BK

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.

Bradley Edward Knight was a registered financial advisor .

Bradley is a previously registered financial advisor and started their career in finance in 2011. Bradley had worked at 5 firms and has passed the Series 66, SIE, Series 3, Series 7 and Series 30 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.

Blog Corner

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®
None

Experience

Past

January 8, 2018 - April 3, 2018

CROWN CAPITAL SECURITIES, L.P.

BD
CRD#: 6312
ORANGE, CA
Past

July 10, 2015 - December 31, 2015

FREEDOM INVESTORS CORP.

BD
CRD#: 23714
BROOKFIELD, WI
Past

April 10, 2013 - March 16, 2015

GOLD KEY WEALTH MANAGEMENT, LLC

RIA
CRD#: 167032
LAGUNA HILLS, CA
Past

September 12, 2011 - August 30, 2013

VISION INVESTMENT ADVISORS, LLC

RIA
CRD#: 109621
LAGUNA HILLS, CA
Past

May 17, 2011 - March 12, 2015

VISION BROKERAGE SERVICES, LLC

BD
CRD#: 47927
LAGUNA HILLS CIVIC CENTER, CA

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
RR
IAR
Series 66
Date: 7/14/2011
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 4/3/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 8/25/2011
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 5/16/2011
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 30
Date: 6/17/2015
NFA Branch Manager Examination

Current Firm

CROWN CAPITAL SECURITIES, L.P.
CROWN CAPITAL SECURITIES, L.P.
CROWN CAPITAL SECURITIES, L.P. | ERIC EQUITIES, INC. | DELTA BROKER HOLDINGS, LLC

CRD#: 6312 / SEC#: 801-57663, 8-17264

BD
Terminated by SEC on 11/23/2024
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Contact information

Main Address
725 Town & Country Road Suite 530, Orange, CA 92868
Mailing Address
Phone number
(714) 547-9481
Established
Delaware since 01/04/1999
Firm type
Partnership
Fiscal year end
December
Firm Size
Small
# of Employees
164

Documents

Latest Form ADV

Part 2 Brochures

ADV PART IIA APPENDIX 1 - CROWN HERITAGE (3/31/2023)
ADV PART IIA APPENDIX 1 - CROWN STERLING (3/31/2023)
ADV PART IIA (3/31/2023)

Direct owners and executive officers

NamePositionCRD#
DELTA CAPITAL HOLDINGS, LLCGENERAL PARTNER
DELTA BROKER HOLDING, LLCLIMITED PARTNER
EDWARDS, DON MICHAELCFO/FINOP/CONTROLLER2669488
FRENCH, JONATHAN LEEPRESIDENT/ MUNICIPAL PRINCIPAL/CROP/CMO/CCO/COO/INV. ADV.SERV.3155702
PAULSEN, DAROL KENNETHCEO/DIR./TREASURER/SROP358292
PAULSEN, PHYLLIS JEANSR. VP/DIR/CAO DIR./LIC & REG/SEC1512757

Regulatory assets under management

Total Number of Accounts5,654
AUM (Assets Under Management)$ 1,223,108,240

Disclosures

Regulatory Event8
Arbitration3

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.

Company Information

CROWN CAPITAL SECURITIES, L.P.

CROWN CAPITAL SECURITIES, L.P.

CRD#: 6312

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