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Information

Other Names: Larry Knox, William Lawrence Knox Jr, William Lawrence Manning Knox Jr
Firm:
Type: Dual Registration
Description

William Knox is a financial professional at Raymond James & Associates, Inc., a broker-dealer with over 5,350 registered representatives nationwide. William has held an industry securities registration for 37 years and is subject to SEC and FINRA oversight.

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Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

William Lawrence Manning Knox has not answered any questions on Financial Q&A.

Top Guides

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Firm Client Types

Individuals
High Net Worth Individuals
Banking or Thrift Institutions
Pension and Profit Sharing Plans
Charitable Organizations
Corporations or Other Businesses
State or Municipal Government Entities
Insurance Companies

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

Employer Years Dates
Raymond James & Associates, Inc. 1 year, 2 months Feb 2013 - Present
Morgan Keegan & Company, Inc. 15 years, 6 months Aug 1997 - Feb 2013
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 06/24/2013, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found

As of Date
06/24/2013
07/07/2013
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

Exam Series Passed Date
Uniform Combined State Law Examination Series 66 05/02/2000
General Securities Sales Supervisor Examination (Options Module & GeneralModule) Series 8 03/23/1998
Uniform Securities Agent State Law Examination Series 63 10/10/1997
General Securities Principal Examination Series 24 10/07/1985
General Securities Representative Examination Series 7 08/17/1985
Municipal Securities Financial and Operations Principal Examination Series 54 05/08/1978

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees
  • Commissions