Ronald W. Knox
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.
Ronald Warren Knox was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1975. Ronald had worked at 10 firms and has passed the Series 65, Series 63, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 6, 2011 - September 30, 2015
ALPHASTAR CAPITAL MANAGEMENT
July 19, 2007 - June 23, 2011
CHESAPEAKE INCOME ADVISORS
August 4, 2003 - August 13, 2007
EQUITY SERVICES, INC.
July 1, 2003 - August 13, 2007
EQUITY SERVICES, INC.
July 10, 2001 - June 26, 2003
UNITED SECURITIES ALLIANCE, INC.
July 7, 1995 - July 10, 2001
WMA SECURITIES, INC.
December 11, 1991 - April 11, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 3, 1987 - December 13, 1991
LEGG MASON WOOD WALKER, INCORPORATED
October 30, 1987 - November 4, 1987
LEGG MASON MASTEN INC.
March 9, 1985 - December 13, 1991
LEGG MASON WOOD WALKER, INCORPORATED
July 21, 1983 - February 19, 1985
MORGAN STANLEY DW INC.
September 2, 1975 - April 16, 1978
WHITNEY GOADBY, INC.
Primary Firm SEC Registration
ALPHASTAR CAPITAL MANAGEMENT
CRD#: 157423 / SEC#: 801-72361
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 8
Date: 7/27/1984
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
ALPHASTAR CAPITAL MANAGEMENT
CRD#: 157423 / SEC#: 801-72361
Contact information
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,592 |
| AUM (Assets Under Management) | $ 1,841,154,148 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/12/2023 | ||
| 06/27/2023 | ||
| 01/24/2023 |
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.
