Colleen F. Knapp

TRANSPARENT WEALTH CONSULTING LLC

New York, NY 14564

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CRD#: 847427

Professional summary

Colleen Fitzpatrick Knapp, who also goes by Colleen Marie Fitzpatrick, is a registered financial advisor currently at TRANSPARENT WEALTH CONSULTING LLC located in New York, New York.

Colleen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1978. Colleen has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 1 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Colleen Marie Fitzpatrick

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

INSURANCE SALES, AGENT, NON-INVESTMENT RELATED, 10% OF TIME DEVOTED TO ACTIVITY, START 1979, SELL LIFE, ACCIDENT, HEALTH AND DISABILITY INSURANCE PRODUCTS; HAT TRICK FINANCIAL LLC, LAKEVILLE, NY, INVESTMENT RELATED, DBA: INVEST-IN-SERVICES, OWNER, START 1998, 0 HRS MONTHLY, 0 HRS DURING TRADING.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Colleen Fitzpatrick Knapp's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

September 14, 2021 - Present

TRANSPARENT WEALTH CONSULTING LLC

Office #1: 51 Cobblecreek Rd Victor, New York, NY 14564

RIA

CRD#: 283193

New York, NY

Past

May 16, 2016 - June 20, 2016

CADARET, GRANT & CO., INC.

RIA

CRD#: 10641

LAKEVILLE, NY

Past

December 19, 2007 - June 20, 2016

CADARET, GRANT & CO., INC.

CRD#: 10641

LAKEVILLE, NY

Past

June 20, 1995 - December 21, 2007

SECURITIES AMERICA, INC.

CRD#: 10205

LAKEVILLE, NY

Past

July 2, 1991 - August 22, 1995

AMERICAN CAPITAL CORPORATION

CRD#: 16124

VALLEY FORGE, PA

Past

October 24, 1978 - June 24, 1991

MUTUAL FUNDS ASSOCIATES INC.

CRD#: 2856

ROCHESTER, NY

Past

January 3, 1978 - November 13, 1978

AMERICAN EXPRESS FINANCIAL CORPORATION

CRD#: 6320

Past

January 3, 1978 - November 13, 1978

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Past

January 3, 1978 - November 13, 1978

IDS LIFE INSURANCE COMPANY

CRD#: 6321

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

TRANSPARENT WEALTH CONSULTING LLC

INVEST-IN SERVICES | TRANSPARENT WEALTH CONSULTING LLC

CRD#: 283193 / SEC#: 801-111906

RIA

Registered Investment Advisory firm - (10/25/2017 Approved)

New York

Registered Investment Advisory firm - (11/22/2017 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New York
(9/14/2021)

IAR

Texas
(9/22/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/2/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/30/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 6/20/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/13/2009

General Securities Representative Examination

General Industry/Product Exam

Series 1

Date: 12/19/1977

Registered Representative Examination

Principal/Supervisory Exam

Series 26

Date: 12/16/1998

Investment Company Products/Variable Contracts Principal Examination

Current Firm

TRANSPARENT WEALTH CONSULTING LLC

INVEST-IN SERVICES | TRANSPARENT WEALTH CONSULTING LLC

CRD#: 283193 / SEC#: 801-111906

RIA

Registered Investment Advisory firm - (10/25/2017 Approved)

New York

Registered Investment Advisory firm - (11/22/2017 Terminated)

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Contact information

Main Address

51 Cobblecreek Rd Victor, New York, NY 14564

Mailing Address

Phone number

(585) 202-0305

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	178
AUM (Assets Under Management)	$ 42,750,000

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.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

Colleen F. Knapp

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Colleen Fitzpatrick Knapp's CRS (Customer Relationship Summary).

Certified licenses

Experience

CADARET, GRANT & CO., INC.

CADARET, GRANT & CO., INC.

SECURITIES AMERICA, INC.

AMERICAN CAPITAL CORPORATION

MUTUAL FUNDS ASSOCIATES INC.

AMERICAN EXPRESS FINANCIAL CORPORATION

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

Primary Firm SEC Registration

TRANSPARENT WEALTH CONSULTING LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/2/2016

Series 63

Date: 10/30/1992

SIE

Date: 6/20/2016

Series 7

Date: 2/13/2009

Series 1

Date: 12/19/1977

Series 26

Date: 12/16/1998

Current Firm

TRANSPARENT WEALTH CONSULTING LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Regulatory assets under management

Red Flags

Company Information

TRANSPARENT WEALTH CONSULTING LLC

TRUST BUT VERIFY

Contact information

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