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Harvey C Knowles

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Other Names: Harvey Coles Knowles
Type: SEC and FINRA Registered

Harvey Knowles is a financial professional at Merrill Lynch, Pierce, Fenner & Smith Incorporated, a broker-dealer with over 31,900 registered representatives nationwide. Harvey has held an industry securities registration for 36 years and is subject to SEC and FINRA oversight.

Advisor Timeline

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Bank of America, N.A. 5 years, 4 months Dec 2009 - Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated 39 years, 5 months Nov 1975 - Present
ExamSeriesPassed Date
Uniform Investment Adviser Law ExaminationSeries 65 09/01/1993
Uniform Securities Agent State Law ExaminationSeries 63 11/07/1980

Answers and Guides

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Harvey C Knowles has not answered any questions on Financial Q&A.

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Harvey C Knowles has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

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

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

Licenses and Conduct

License Status

No Disclosures Found

No Disclosures Found

As of Date
*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.

Firm Compensation Arrangements

Types of Compensation Arrangements

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