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Detailed Report
HUNTER BOWNE KNAPP
HUNTER BOWNE KNAPP MR., HUNTER KNAPP
CRD#: 2138089
IA
Investment Adviser
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Broker
NORTHERN TRUST INVESTMENTS, INCORPORATEDCRD#: 105780 Marietta, GA
NORTHERN TRUST SECURITIES, INC.CRD#: 7927 Marietta, GA
Registration History
19952000200520102015202020252 FIRMS2003 - 2005 (2 years)2 FIRMS2005 - 2007 (1 year)2 FIRMS2020 - Present (4 years)BWELLS FARGO FUNDS DISTRIBUTOR, LLC (CRD# 133366)2010 - 2020 (10 years)BEVERGREEN INVESTMENT SERVICES,... (CRD# 487)2007 - 2010 (3 years)BING FUNDS DISTRIBUTOR, LLC (CRD# 37886)2003 - 2003 (<1 year)BPHOENIX EQUITY PLANNING CORPOR... (CRD# 3036)2000 - 2002 (2 years)BFAM DISTRIBUTORS, INC. (CRD# 4100)2000 - 2000 (<1 year)BPIONEER FUNDS DISTRIBUTOR, INC. (CRD# 24497)1999 - 2000 (1 year)BNEW ENGLAND FUNDS, L.P. (CRD# 34754)1996 - 1999 (2 years)BVAN KAMPEN AMERICAN CAPITAL DI... (CRD# 6939)1993 - 1996 (2 years)BAMERICAN FUNDS DISTRIBUTORS, INC. (CRD# 6247)1993 - 1993 (<1 year)BANCHOR NATIONAL FINANCIAL SERV... (CRD# 5774)1991 - 1991 (<1 year)IAWELLS FARGO FUNDS MANAGEMENT, LLC (CRD# 110841)2010 - 2019 (9 years)IAEVERGREEN INVESTMENT MANAGEMENT CO (CRD# 104594)2009 - 2010 (<1 year)
License(s)

State Registrations

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Alabama 4/15/2020
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Montana 4/15/2020
B
Alaska 4/15/2020
B
Nebraska 4/15/2020
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Arizona 4/15/2020
B
Nevada 4/15/2020
B
Arkansas 4/15/2020
B
New Hampshire 4/15/2020
B
California 4/15/2020
B
New Jersey 4/15/2020
B
Colorado 4/15/2020
B
New Mexico 4/15/2020
B
Connecticut 4/15/2020
B
New York 4/15/2020
B
Delaware 4/15/2020
B
North Carolina 4/15/2020
B
District of Columbia 4/15/2020
B
North Dakota 4/15/2020
B
Florida 4/15/2020
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Ohio 4/15/2020
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Georgia 4/15/2020
B
Oklahoma 4/15/2020
IA
Georgia 5/11/2020
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Oregon 4/15/2020
B
Hawaii 4/15/2020
B
Pennsylvania 4/15/2020
B
Idaho 4/15/2020
B
Puerto Rico 4/15/2020
B
Illinois 4/15/2020
B
Rhode Island 4/15/2020
B
Indiana 4/15/2020
B
South Carolina 4/15/2020
B
Iowa 4/15/2020
B
South Dakota 4/15/2020
B
Kansas 4/15/2020
B
Tennessee 4/15/2020
B
Kentucky 4/15/2020
B
Texas 4/15/2020
B
Louisiana 4/15/2020
B
Utah 4/15/2020
B
Maine 4/15/2020
B
Vermont 4/15/2020
B
Maryland 4/15/2020
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Virgin Islands 4/15/2020
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Massachusetts 4/15/2020
B
Virginia 4/15/2020
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Michigan 4/15/2020
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Washington 4/15/2020
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Minnesota 4/15/2020
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West Virginia 4/15/2020
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Mississippi 4/15/2020
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Wisconsin 4/15/2020
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Missouri 4/15/2020
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Wyoming 4/15/2020

SRO Registrations

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 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
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NORTHERN TRUST INVESTMENTS, INCORPORATED (CRD#:105780)
Marietta, GA
Registered with this firm since 5/11/2020
B
NORTHERN TRUST SECURITIES, INC. (CRD#:7927)
Marietta, GA
Registered with this firm since 4/15/2020
Previous Registration(s)
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 01/04/2010 - 01/21/2020 WELLS FARGO FUNDS DISTRIBUTOR, LLC (CRD#:133366) CHARLOTTE, NC
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 01/04/2010 - 02/14/2019 WELLS FARGO FUNDS MANAGEMENT, LLC (CRD#:110841) SAN FRANCISCO, CA
IA
 09/22/2009 - 01/04/2010 EVERGREEN INVESTMENT MANAGEMENT CO (CRD#:104594) BOSTON, MA
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 01/10/2007 - 01/04/2010 EVERGREEN INVESTMENT SERVICES, INC. (CRD#:487) CHARLOTTE, NC
IA
 12/15/2005 - 01/03/2007 CLEARBRIDGE ADVISORS, LLC (CRD#:137028) NEW YORK, NY
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 12/01/2005 - 01/03/2007 LEGG MASON INVESTOR SERVICES, LLC (CRD#:109064) SAN MATEO, CA
IA
 10/07/2003 - 12/19/2005 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) STAMFORD, CT
B
 10/03/2003 - 12/01/2005 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) NEW YORK, NY
B
 01/03/2003 - 06/03/2003 ING FUNDS DISTRIBUTOR, LLC (CRD#:37886) WINDSOR, CT
B
 09/18/2000 - 12/12/2002 PHOENIX EQUITY PLANNING CORPORATION (CRD#:3036) HARTFORD, CT
B
 02/10/2000 - 09/01/2000 FAM DISTRIBUTORS, INC. (CRD#:4100) NEW YORK, NY
B
 02/19/1999 - 02/28/2000 PIONEER FUNDS DISTRIBUTOR, INC. (CRD#:24497) BOSTON, MA
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 06/07/1996 - 02/02/1999 NEW ENGLAND FUNDS, L.P. (CRD#:34754) BOSTON, MA
B
 12/02/1993 - 06/26/1996 VAN KAMPEN AMERICAN CAPITAL DISTRIBUTORS, INC. (CRD#:6939) HOUSTON, TX
B
 01/01/1993 - 11/12/1993 AMERICAN FUNDS DISTRIBUTORS, INC. (CRD#:6247) LOS ANGELES, CA
B
 05/13/1991 - 08/29/1991 ANCHOR NATIONAL FINANCIAL SERVICES, INC. (CRD#:5774)
For additional information about investment advisers or broker-dealers, please visit
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B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.