Carlye Y. Knight

THE YANKER GROUP

Manchester, MO 63021

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CRD#: 6053957

Professional summary

Carlye Yanker Knight, who also goes by Carlye Ann Yanker, is a registered financial advisor currently at THE YANKER GROUP located in Manchester, Missouri and LPL FINANCIAL LLC located in Manchester, Missouri.

Carlye is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Carlye has worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Carlye Ann Yanker

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.

1. 04/20/2017 - THE YANKER GROUP/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ 100%/ MANCHESTER, MO (2) 04/27/2017-THE YANKER GROUP-investment related-At reported business location(s)-Registered Investment Advisor Hybrid-Licensed Admin- start 1/1/2016-Hours per month 160- Time spent percent 100%-I provide administrative support to THE YANKER GROUP, an independent investment advisor firm. I started this business activity in 04/2017. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carlye Yanker Knight's CRS (Customer Relationship Summary).

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®

None

Experience

Current

February 14, 2024 - Present

THE YANKER GROUP

Office #1: 13611 Barrett Office Dr., Ste. 100, Manchester, MO 63021

RIA

CRD#: 281364

Manchester, MO

Current

April 20, 2017 - Present

LPL FINANCIAL LLC

Office #1: 13611 Barrett Office Dr #100, Manchester, MO 63021

RIA

CRD#: 6413

Manchester, MO

Past

December 14, 2015 - February 28, 2017

MORGAN STANLEY

RIA

CRD#: 149777

SOUTHLAKE, TX

Past

September 25, 2015 - February 28, 2017

MORGAN STANLEY

CRD#: 149777

SOUTHLAKE, TX

Past

October 10, 2013 - March 9, 2015

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

DALLAS, 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".

THE YANKER GROUP

THE YANKER GROUP | THE YANKER GROUP, INC.

CRD#: 281364 / SEC#: 801-118402

RIA

Registered Investment Advisory firm - (4/9/2020 Approved)

Illinois

Registered Investment Advisory firm - (4/9/2020 Terminated)

Missouri

Registered Investment Advisory firm - (9/13/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

Missouri
(4/20/2017)

IAR

Missouri
(2/14/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/14/2015

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/18/2013

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/10/2013

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

THE YANKER GROUP

THE YANKER GROUP | THE YANKER GROUP, INC.

CRD#: 281364 / SEC#: 801-118402

RIA

Registered Investment Advisory firm - (4/9/2020 Approved)

Illinois

Registered Investment Advisory firm - (4/9/2020 Terminated)

Missouri

Registered Investment Advisory firm - (9/13/2021 Terminated)

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Contact information

Main Address

13611 Barrett Office Dr., Ste. 100, Manchester, MO 63021

Mailing Address

Phone number

(314) 962-5600

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIRM DISCLOSURE BROCHURE - ADV 2A (3/30/2025)

Regulatory assets under management

Total Number of Accounts	852
AUM (Assets Under Management)	$ 265,000,000

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.

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Firm Stability Insights

Carlye Y. Knight

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carlye Yanker Knight's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

MORGAN STANLEY

MORGAN STANLEY

FIDELITY BROKERAGE SERVICES LLC

Primary Firm SEC Registration

THE YANKER GROUP

State Registrations and Notice Filings

Exams

Series 66

Date: 12/14/2015

Series 63

Date: 10/18/2013

SIE

Date: 10/1/2018

Series 7

Date: 10/10/2013

FINRA

Current Firm

THE YANKER GROUP

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

THE YANKER GROUP

TRUST BUT VERIFY

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