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EK

Eric C. Knowles

DOEREN MAYHEW CAPITAL ADVISORS
Troy, MI 48084
Some features on this profile are disabled
CRD#: 6208012
EK

Professional summary

Eric Charles Knowles is a registered financial professional currently at DOEREN MAYHEW CAPITAL ADVISORS, LLC located in Troy, Michigan.

Eric is registered as a RR (Registered Representative) and started their career in finance in 2015. Eric has worked at 2 firms and has passed the Series 63, SIE and Series 79 exams.

top-8-questions

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) - BD

Click below to view Eric Charles Knowles'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®
None

Experience

Current

February 7, 2023 - Present

DOEREN MAYHEW CAPITAL ADVISORS, LLC

Office #1: 305 W. Big Beaver Road Suite 200, Troy, MI 48084
BD
CRD#: 288269
Troy, MI
Past

August 10, 2015 - August 7, 2018

HOULIHAN LOKEY CAPITAL, INC.

BD
CRD#: 17708
CHICAGO, IL

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
Series 63
Date: 8/21/2015
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 2/7/2023
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 8/10/2015
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

DM
DOEREN MAYHEW CAPITAL ADVISORS, LLC
DOEREN MAYHEW CAPITAL ADVISORS, LLC

CRD#: 288269 / SEC#: , 8-69931

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
2600 North Loop West, Suite 600, Houston, TX 77092
Mailing Address
2600 North Loop West, Suite 600, Houston, TX 77092
Phone number
(713) 789-7077
Established
Michigan since 01/25/2017
Firm type
Limited Liability Company
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (3 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
DMCA HOLDINGS, LLCOWNER
ANSCHUETZ, CHAD MICHAELBOARD MEMBER4640286
BEAMISH, RICHARD J. MR.BOARD MEMBER6670343
MAILHES, JENNIFER ROY MSBOARD MEMBER/CHIEF COMPLIANCE OFFICER/CEO6544474
PARTRIDGE, AARON MICHAELBOARD MEMBER7996870

Disclosures

Regulatory Event1

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

DOEREN MAYHEW CAPITAL ADVISORS, LLC

CRD#: 288269Troy, MI 48084

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