Robert A. Knutson Sr
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.
Robert Anton Knutson Sr, who also goes by Robert Anton Knutson, Robert Anton Knutson Sr., was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1977. Robert had worked at 17 firms and has passed the Series 66, Series 63, SIE, Series 5, 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
September 12, 2016 - August 13, 2018
CSSC BROKERAGE SERVICES, INC.
September 9, 2016 - December 31, 2018
TRUSTEE EMPOWERMENT & PROTECTION, INC.
March 25, 2014 - September 12, 2014
RIDGEWAY & CONGER, INC.
March 12, 2014 - September 12, 2014
RIDGEWAY CONGER ADVISORY SERVICES
September 27, 2011 - April 23, 2012
STONECASTLE SECURITIES, LLC
September 17, 2008 - October 7, 2011
RBC CAPITAL MARKETS, LLC
April 28, 2008 - October 7, 2011
RBC CAPITAL MARKETS, LLC
January 26, 2007 - September 27, 2007
ADVANCED EQUITIES, INC.
November 21, 2005 - March 14, 2006
MIDLAND SECURITIES, LTD
September 17, 1999 - January 5, 2004
OPPENHEIMER & CO. INC.
January 27, 1998 - February 28, 2000
COWEN AND COMPANY
October 30, 1997 - December 12, 1997
YAMAICHI INTERNATIONAL (AMERICA) INC.
February 23, 1996 - October 23, 1997
BLAYLOCK & COMPANY, INC.
November 2, 1992 - February 8, 1995
NIKKO ALTERNATIVE ASSET MANAGEMENT, INC.
July 31, 1985 - April 3, 1992
PRUDENTIAL EQUITY GROUP, LLC
September 12, 1983 - September 28, 1984
BECKER PARIBAS INCORPORATED
September 26, 1978 - July 12, 1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 1, 1977 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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
Series 5
Date: 10/15/1981
Interest Rate Options ExaminationSeries 8
Date: 11/8/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CSSC BROKERAGE SERVICES, INC.
CRD#: 141630 / SEC#: , 8-67401
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CSSC SERVICES AND SOLUTIONS, INC. | OWNER | |
| RICH, GREGORY ROBERT | CHIEF COMPLIANCE OFFICER | 1316406 |
Disclosures
| Regulatory Event | 1 |
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.
