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DK

David W. Knowlton

GALAXY DIGITAL PARTNERS LLC
New York, NY 10282
Some features on this profile are disabled
CRD#: 6850454
DK

Professional summary

David William Knowlton is a registered financial professional currently at GALAXY DIGITAL PARTNERS LLC located in New York, New York.

David is registered as a RR (Registered Representative) and started their career in finance in 2017. David has worked at 2 firms and has passed the Series 66, SIE and Series 7 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 David William Knowlton'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

January 24, 2023 - Present

GALAXY DIGITAL PARTNERS LLC

Office #1: 300 Vesey Street 13th Floor, New York, NY, 10282
BD
CRD#: 289605
New York, NY
Past

March 24, 2021 - March 11, 2022

GALAXY DIGITAL PARTNERS LLC

BD
CRD#: 289605
New York, NY
Past

April 1, 2019 - March 25, 2021

ADVISORS ASSET MANAGEMENT, INC.

RIA
CRD#: 46727
NEW YORK, NY
Past

December 20, 2017 - March 25, 2021

ADVISORS ASSET MANAGEMENT, INC.

BD
CRD#: 46727
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
New York
(1/24/2023)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/29/2019
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/20/2017
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

GD
GALAXY DIGITAL PARTNERS LLC
GALAXY DIGITAL ADVISORS LLC | J. FRED MUGGS SECURITIES LLC | GALAXY DIGITAL PARTNERS LLC

CRD#: 289605 / SEC#: , 8-70001

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

Main Address
300 Vesey Street 13th Floor, New York, NY, 10282
Mailing Address
300 Vesey Street 13th Floor, New York, NY, 10282
Phone number
(347) 229-4993
Established
New York since 07/18/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
GALAXY DIGITAL LPSOLE MEMBER
ALAYO, JUNNETTE DALENNACCO7478032
ASHE, MICHAEL LAWRENCECEO4839353
RICO, ROBERT DFINOP/CFO/PFO6613472
ROACH, PATRICK JOSEPHCOO/POO2296361

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

GALAXY DIGITAL PARTNERS LLC

CRD#: 289605New York, NY 10282

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