John D. Knudson
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.
John David Knudson was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1979. John had worked at 7 firms and has passed the Series 63 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 2, 1984 - February 7, 1990
ROCKY MOUNTAIN SECURITIES & INVESTMENTS, INC.
June 26, 1984 - August 23, 1984
BENTLEY INVESTMENTS, INC.
March 14, 1984 - June 11, 1984
B. J. LEONARD AND COMPANY, INC.
January 20, 1984 - February 22, 1984
HACKERT/MODESITT INVESTMENTS, LTD.
February 10, 1982 - December 27, 1983
HERETH, ORR & JONES, INC.
June 8, 1981 - March 12, 1982
FIRST CITIZENS MUNICIPAL CORPORATION
September 19, 1979 - January 8, 1985
FIRST COLORADO INVESTMENTS & SECURITIES, 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
Current Firm
ROCKY MOUNTAIN SECURITIES & INVESTMENTS, INC.
CRD#: 8350 / SEC#: , 8-25105
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HORNING, STEPHEN JAMES | DIRECTOR/PRESIDENT | 250316 |
| VANTREUREN, RALPH DAVID | DIRECTOR/VICE PRESIDENT | 453387 |
| LLOYD, MARY CAROLYNE | SHAREHOLDER(RESIGNED AS DIRECTOR 03/02) | |
| ZALES, MICHAEL JACOB | DIRECTOR/VICE PRESIDENT | 475699 |
| BLANKENHEIM, GEORGE THOMAS | SECRETARY/TREASURER | 23218 |
| CLARKE, JUDITH VAN BROCKLIN | TRADER | 1014789 |
| COX, NEIL AMEL | DIRECTOR/VICE PRESIDENT | 806126 |
| DASCALOS, JAMES | DIRECTOR | |
| MAXEY, CRAIG ALLEN | SROP-CROP/VICE PRESIDENT | 820099 |
| SMITH, ROBERT LEE | DIRECTOR |
Disclosures
| Regulatory Event | 6 |
| Civil Event | 1 |
| Arbitration | 3 |
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.
