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Current Employers
Knecht Capital Management, Llc

Napa, CA • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2023-03-24
CA RA APPROVED 2022-04-04
  • TX RA
    APPROVED_RES
    Since 2023-03-24
  • CA RA
    APPROVED
    Since 2022-04-04

Branch Locations

Napa, CA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Cetera Advisor Networks Llc El Segundo CA 01/2013 10/2016
Lpl Financial, Llc Napa Valley CA 10/2016 Present
Napa Valley Wealth Management Saint Helena CA 10/2016 03/2022
Knecht Capital Management, Llc Napa CA 03/2022 Present
  • 01/2013 → 10/2016
    Cetera Advisor Networks Llc
    El Segundo, CA
  • 10/2016 → Present
    Lpl Financial, Llc
    Napa Valley, CA
  • 10/2016 → 03/2022
    Napa Valley Wealth Management
    Saint Helena, CA
  • 03/2022 → Present
    Napa, CA
Previous Registrations
  • 2022-02-25 → 2022-06-17
    Napa Valley Wealth Management
    St. Helena, CA
  • 2008-06-05 → 2021-12-31
    Napa Valley Wealth Management
    St. Helena, CA
  • 2011-05-23 → 2016-10-20
    Cetera Wealth Services, Llc
    St Helena, CA
  • 2000-08-08 → 2008-05-15
    Associated Planners Investment Advisory Inc
    St. Helena, CA
Other Businesses

(1) 10/17/2016: No Business Name - Tax Prep/Accounting/CPA - Investment Related - 1512 Pear Tree Lane, Napa, CA 94558-6492 - Start 01/01/2015 - 1 Hr/Mo; 0 Hour(s) During Securities Trading; 1% Time Spent - simple tax prep for family and friends including some LPL clients (2) 10/17/2016: No Business Name - Non-Variable Insurance - Investment Related - 1127 Pope Street St Helena, CA - Start 10/17/2016 - 10 Hr/Mo; 0 Hour(s) During Securities Trading; 5% Time Spent - process business through carriers directly for fixed insurance business (3) 03/02/2017: Pacific Union College - Not Investment Related - 1 Angwin Avenue Angwin, CA 94508 - Other-Teaching - Contract teacher for business department - Started 01/10/2017 - 32 Hours Per Month/0 Hours During Securities Trading (4) 03/24/2022 - Knecht Capital Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 03/23/2022 - 10 Hours Per Month/ 1 Hours During Securities Trading. (5) 04/06/2022 - Knecht Capital Management LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date - 03/31/2022 - 125 Hours Per Month/5 Hours During Securities Trading - I provide investment advisory services through Knecht Capital Management LLC, an independent investment advisor firm. I started this business activity in 03/2022. I expect to spend approximately 125 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-07-13
  • S66 Uniform Combined State Law Examination
    2000-07-13
Designations

View on SEC IAPD

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