Kevin J. Knobbe
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.
Kevin John Knobbe, who also goes by Kevin J Knobbe, was a registered financial advisor .
Kevin is a previously registered financial advisor and started their career in finance in 1981. Kevin had worked at 6 firms and has passed the Series 66, Series 63, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 26, 2001 - November 29, 2002
VESTAX SECURITIES CORPORATION
June 21, 2000 - November 29, 2002
VESTAX SECURITIES CORPORATION
April 28, 2000 - June 20, 2000
STUART SECURITIES CORP.
October 9, 1997 - February 12, 1998
SECURITIES AMERICA, INC.
November 24, 1982 - January 6, 1997
PFS INVESTMENTS INC.
May 7, 1981 - November 16, 1982
TOUCHSTONE SECURITIES, INC.
January 26, 1981 - May 6, 1981
ENTERPRISE FUND DISTRIBUTORS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
VESTAX SECURITIES CORPORATION
CRD#: 10332 / SEC#: , 8-27024
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VESTAX CAPITAL CORPORATION | SOLE SHAREHOLDER | |
| DUNSTAN, RICHARD VAUGHAN | MUNICIPAL PRINCIPAL | 1632092 |
| DUNSTAN, RICHARD VAUGHAN | SROP/CROP | 1632092 |
| HARRISON, BRETT LAMAR | COO, SENIOR VICE PRESIDENT | 4032238 |
| MCEVOY, PATRICK HENRY | PRESIDENT, CEO | 1796543 |
| RESSLER, SANDER JAMES | CCO | 1455553 |
| STEWART, EVERETT PAUL JR | CFO | 2025188 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 4 |
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.
