Steven J. Knapp
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.
Steven Joseph Knapp was a registered financial advisor .
Steven is a previously registered financial advisor and started their career in finance in 1981. Steven had worked at 10 firms and has passed the Series 65, Series 63, Series 3, Series 5 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 27, 2007 - September 30, 2009
GILMAN HILL ASSET MANAGEMENT, LLC
August 7, 2003 - October 4, 2011
WESTPORT CAPITAL MARKETS, LLC
July 14, 2003 - October 4, 2011
WESTPORT CAPITAL MARKETS, LLC
March 7, 2001 - July 14, 2003
WESTPORT RESOURCES MANAGEMENT INC
January 2, 1996 - August 7, 2003
SMH CAPITAL INVESTMENTS LLC
July 31, 1993 - December 19, 1995
CITIGROUP GLOBAL MARKETS INC.
December 11, 1990 - July 31, 1993
LEHMAN BROTHERS INC.
May 5, 1989 - December 4, 1990
ALEX. BROWN & SONS INCORPORATED
March 7, 1986 - June 2, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
November 27, 1984 - March 17, 1986
CIBC WORLD MARKETS CORP.
September 17, 1981 - November 28, 1984
LEHMAN BROTHERS INC.
July 23, 1981 - September 4, 1981
FIRST JERSEY SECURITIES, INC.
Primary Firm SEC Registration
GILMAN HILL ASSET MANAGEMENT, LLC
CRD#: 143970 / SEC#: 801-67941
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
Series 5
Date: 10/17/1981
Interest Rate Options ExaminationCurrent Firm
GILMAN HILL ASSET MANAGEMENT, LLC
CRD#: 143970 / SEC#: 801-67941
Contact information
SEC notice filing (14 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 596 |
| AUM (Assets Under Management) | $ 782,940,311 |
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.
