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Napa, CA • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-03-24 |
| CA | RA | APPROVED | 2022-04-04 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| 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 |
(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.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2000-07-13 |
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