Howard R. 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.
Howard Robert Knapp, who also goes by Bob Knapp, Howard R Knapp, was a registered financial professional .
Howard is a previously registered financial professional and started their career in finance in 1976. Howard had worked at 17 firms and has passed the Series 63, Series 3, Series 7, Series 8, F04, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 23, 1998 - January 21, 1999
BARRON CHASE SECURITIES, INC.
January 29, 1997 - May 16, 1997
U.S. SECURITIES & FUTURES CORP.
July 25, 1996 - September 4, 1998
MERIDIAN EQUITIES COMPANY
February 23, 1996 - April 28, 1997
NATIONWIDE SECURITIES CORPORATION
March 23, 1995 - November 22, 1995
CRESSIDA CAPITAL, INC
February 23, 1995 - July 11, 1995
HANOVER, STERLING & COMPANY LTD.
June 18, 1993 - March 15, 1995
MERIDIAN, DUNHILL & CO., INC.
August 14, 1990 - December 31, 1992
WORLD INVEST CORPORATION
May 30, 1990 - August 14, 1990
GLOBAL INVESTOR SECURITIES, INC.
October 3, 1988 - May 8, 1990
DOMINICK & DICKERMAN LLC
April 6, 1988 - October 3, 1988
DOMIK CORP.
March 14, 1988 - April 7, 1988
RAYMOND JAMES & ASSOCIATES, INC.
March 23, 1987 - March 1, 1988
WACHOVIA SECURITIES, INC.
June 25, 1986 - April 3, 1987
PHILIPS, APPEL & WALDEN, INC.
August 30, 1985 - June 27, 1986
UNDERHILL ASSOCIATES, INCORPORATED
March 25, 1980 - August 19, 1985
BROWN, KNAPP & COMPANY, INC.
May 1, 1978 - March 15, 1980
DOMIK CORP.
May 12, 1976 - February 14, 1978
R. W. PRESSPRICH & CO. INCORPORATED
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: 10/20/1986
General Securities Sales Supervisor Examination (Options Module & General Module)F04
Date: 6/25/1979
Financial Principal ExaminationCurrent Firm
BARRON CHASE SECURITIES, INC.
CRD#: 18969 / SEC#: , 8-37107
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CONTINENTAL FINANCIAL | OWNER | |
| AIELLO, PHILIP JOHN JR | V.P. | 2214889 |
| ANDOLPHO, PETER DONALD JR | V.P. | 2034938 |
| BLUNDELL, ROGER JAMES | V.P. | 2228388 |
| COLLURA, ANTHONY BURKE | V.P. | 1212502 |
| CRISTIANO, GENNARO JERRY | V.P. | |
| FEINMEL, HOWARD | CHEIF COMPLIANCE OFFICER CCO | 1330613 |
| GALLEGOS, CRAIG STEVEN | V.P. | 2026646 |
| GRIMM, KENTON EDWARD | V.P. | 1474702 |
| HAFEZI, KIOUMARS | V.P | 1725946 |
| HERMAN, BRIAN MARCUS | V.P. | 1927274 |
| KIRK, ROBERT THOMAS | CEO | 1204425 |
| KLEIN, JAY ALAN | CFO / FINOP | 3233468 |
| LIMA, MARIE SANTA | V.P. | 2727745 |
| LOCKHART, ROGER DEAN | V.P. | 1581173 |
| MACKLE, DANIEL JOSEPH SR | V.P. | 2239531 |
| MEDRANO, PAUL DEAN | V.P. | 1550449 |
| NOLE, JOHN ANTHONY | V.P. | 1609191 |
| OHALLORAN, DANIEL PATRICK | V.P. | 1391521 |
| OREILLY, RICHARD DONLON | V.P. | 845839 |
| ORLANDO, JOHN ANTHONY | V.P | 2002197 |
| PARSI, JOEY AMIR | V.P. | 1933342 |
| PETRUSHA, MICHAEL EDWARD | V.P. | 1690224 |
Disclosures
| Regulatory Event | 13 |
| Civil Event | 2 |
| Arbitration | 29 |
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.
