Unclaimed Profile

Connie Monica Knox

WESCOM FINANCIAL SERVICES, LLC·PASADENA, California

SIE, Series 7, Series 24, Series 53, Series 63Clean record22 years registeredWESCOM FINANCIAL SERVICES, LLC

123 SO. MARENGO AVE, PASADENA, CA 91101CRD# 2279725Firm CRD# 125650

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Connie Monica Knox · PASADENA, CA

Registration

CRD #2279725 · WESCOM FINANCIAL SERVICES, LLC · 22 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: WESCOM FINANCIAL SERVICES, LLC

WESCOM FINANCIAL SERVICES, LLC

Apr 2004 – May 2018

PASADENA, CA

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 24

Series 53

Series 63

Registration record

First registered · April 8, 2004

Years registered · 22

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

WESCOM FINANCIAL SERVICES, LLC

CRD 125650 · SEC 801-113359

AUM

$226M

Regulatory assets under management

Employees

1,138 client accounts

Services offered by WESCOM FINANCIAL SERVICES, LLC

Per Form ADV

Portfolio management (individuals)

Selection of other advisers

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

View all advisors at WESCOM FINANCIAL SERVICES, LLC →

Introduction

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Frequently Asked Questions

What services does Connie Monica Knox offer?

Connie Monica Knox specializes in Investment Management, Wealth Management.

What are Connie Monica Knox's credentials?

Connie Monica Knox is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Connie Monica Knox located?

Connie Monica Knox is based in PASADENA, California, last registered with WESCOM FINANCIAL SERVICES, LLC.

How does Connie Monica Knox charge for services?

Connie Monica Knox's firm is compensated through percentage of aum, other: fees collected from third-party managers are paid to applicant. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is WESCOM FINANCIAL SERVICES, LLC?

WESCOM FINANCIAL SERVICES, LLC has approximately 31 employees and manages $226M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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