Unclaimed Profile

James Edward Knee

STERLING FINANCIAL SERVICES, LLC·CONCORD, New Hampshire

SIE, Series 7, Series 24, Series 6327 years registeredSTERLING FINANCIAL SERVICES, LLC

6 LOUDON ROAD, SUITE 505, CONCORD, NH 03301CRD# 1852920Firm CRD# 135505

Profile Verification

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

Identity

James Edward Knee · CONCORD, NH

Registration

CRD #1852920 · STERLING FINANCIAL SERVICES, LLC · 27 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: STERLING FINANCIAL SERVICES, LLC

VOYA FINANCIAL ADVISORS, INC.

Nov 2015 – Aug 2016

concord, NH

AMERIPRISE FINANCIAL SERVICES, INC.

Aug 2012 – Nov 2015

CONCORD, NH

STERLING FINAN SRVS A FINAN ADVISORY PRACTICE OF AMERIPRISE FIN

Jan 2007 – Jan 2013

CONCORD, NH

CANTELLA & CO., INC.

Feb 2005 – Dec 2006

CONCORD, NH

RAYMOND JAMES FINANCIAL SERVICES

Nov 1998 – Feb 2005

CONCORD, NH

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 24

Series 63

Registration record

First registered · November 13, 1998

Years registered · 27

Disclosure History

2019Customer Dispute·Denied

2018Customer Dispute·Settled

2018Regulatory·Final

2017Customer Dispute·Settled

2016Employment Separation After Allegations

2016Investigation

2015Customer Dispute·Settled

2008Customer Dispute·Denied

2005Customer Dispute·Denied

2002Customer Dispute·Denied

11 disclosure events on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

STERLING FINANCIAL SERVICES, LLC

CRD 135505 · SEC 801-71022

AUM

$48M

Regulatory assets under management

Employees

633 client accounts

Services offered by STERLING FINANCIAL SERVICES, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at STERLING FINANCIAL SERVICES, LLC →

Introduction

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Frequently Asked Questions

What services does James Edward Knee offer?

James Edward Knee specializes in Financial Planning, Investment Management.

What are James Edward Knee's credentials?

James Edward Knee is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is James Edward Knee located?

James Edward Knee is based in CONCORD, New Hampshire, last registered with STERLING FINANCIAL SERVICES, LLC.

How does James Edward Knee charge for services?

James Edward Knee's firm is compensated through percentage of aum, hourly charges. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is STERLING FINANCIAL SERVICES, LLC?

STERLING FINANCIAL SERVICES, LLC has approximately 1 employees and manages $48M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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