James Kent Knause

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
PA	RA	APPROVED	2019-10-29

PA RA
APPROVED

Since 2019-10-29

Branch Locations

Carnegie, PA • 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

Organization	City	State	From	To
Cadaret, Grant & Co., Inc.	Carnegie	PA	10/1988	10/2019
Arthur/Kent Inc.	Carnegie	PA	06/1983	Present
Lpl Financial, Llc	Carnegie	PA	10/2019	Present

10/1988 → 10/2019

Cadaret, Grant & Co., Inc.

Carnegie, PA
06/1983 → Present

Arthur/Kent Inc.

Carnegie, PA
10/2019 → Present

Lpl Financial, Llc

Carnegie, PA

Other Businesses

1)06/2008 - Non-Variable Insurance - ARTHUR/KENT INC. - 2HRS/MO 0 DURING TRADING - INVESTMENT RELATED - CARNEGIE, PA 15106 2)10/2019 - Bookkeeping - JAMES KENT KNAUSE - 10% - INVESTMENT RELATED - CARNEGIE, PA 15106 3)06/1983 - DBA for LPL Business (entity for LPL business) - ARTHUR/KENT INC. - 100% - INVESTMENT RELATED - CARNEGIE, PA 15106

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2019-08-20
S63	Uniform Securities Agent State Law Examination	1994-11-28

S65 Uniform Investment Adviser Law Examination

2019-08-20
S63 Uniform Securities Agent State Law Examination

1994-11-28

View on SEC IAPD