James Knight has been Chief Compliance Officer / Srop / Crop of BHK Securities since March 2005, is a control person of the firm and directly owns under 5% of it. James Knight holds a Bachelor's degree in accounting from the University of Alabama.
BHK Securities, LLC is a Birmingham, AL firm with $128M under management, 103 clients and 3 advisers in one office, as of its March 2026 filing.
J. Bailey Knight is Principal and Chief Compliance Officer of BHK Holdings. He specializes in strategic financial and estate planning and began his career in the financial services industry in 1991. Before forming BHK Investment Advisors, LLC in 2006, he was a partner at Wachovia Securities for eight years and at Salomon Smith Barney for three years.
James Knight’s longest registration is the current one, 20 years at BHK Investment Advisors since 2006. Before joining BHK Securities in 2007, James Knight was registered through Wachovia Securities, LLC.
- BHK Securities, LLCCurrent– present · 19 yearsBirmingham, AL · Adviser representative · Firm CRD 139665
- BHK Investment AdvisorsAlso current– present · 20 yearsBirmingham, AL · Adviser representative · Firm CRD 140515
- Wachovia Securities, LLC– · 6 yearsHomewood, AL · Adviser representative · Firm CRD 19616
Investment adviser representative registrations
James Knight is registered as an investment adviser representative in 3 states, as a resident of Texas. The first approvals date from May 2006; the most recent is Louisiana, in December 2021.
- AlabamaSince 17 May 2006
- LouisianaSince 6 December 2021
- TexasResidentSince 3 July 2007
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 52TO | Municipal Securities Representative Examination | 25 September 2025 |
| Series 14 | Compliance Officer Examination | 2 January 2023 |
| Series 24 | General Securities Principal Examination | 2 January 2023 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 53 | Municipal Securities Principal Examination | 8 December 2005 |
| Series 4 | Registered Options Principal Examination | 17 November 2005 |
| Series 23 | General Securities Principal Sales Supervisor | 24 May 2005 |
| Series 10 | General Securities Sales Supervisor - General Module Examination | 14 May 2002 |
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 10 May 2002 |
| Series 3 | National Commodity Futures Examination | 5 February 1998 |
| Series 65 | Uniform Investment Adviser Law Examination | 24 October 1996 |
| Series 63 | Uniform Securities Agent State Law Examination | 4 October 1996 |
| Series 7 | General Securities Representative Examination | 2 October 1996 |
- Name
- Municipal Securities Representative Examination
- Name
- Compliance Officer Examination
- Name
- General Securities Principal Examination
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- Municipal Securities Principal Examination
- Name
- Registered Options Principal Examination
- Name
- General Securities Principal Sales Supervisor
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- National Commodity Futures Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- James Bailey Knight
- CRD
- 2787109
- Firm
- BHK Securities · CRD 139665
- Role
- Chief Compliance Officer / Srop / Crop
- Office
- 2200 LAKESHORE DRIVE, SUITE 250, Birmingham, AL 35209
- Registration
- Investment adviser and broker registrations
- In the industry since
- October 1996
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- bhkllc.com
Where does James Knight work?
James Knight has been Chief Compliance Officer / Srop / Crop of BHK Securities, LLC since March 2005, and is a control person of the firm.
Is James Knight a financial advisor?
Yes. James Knight has a current investment-adviser registration in Alabama, Louisiana and Texas, through BHK Securities since July 2007.
How many years of experience does James Knight have?
James Knight has 30 years in the financial industry, since October 1996, across 3 adviser firms.
What exams has James Knight passed?
James Knight has passed 13 licensing exams: the Series 7, Series 63, Series 65, Series 3, Series 9, Series 10, Series 23, Series 4, Series 53, Series 14, Series 24, Series 99TO and Series 52TO. The earliest, the Series 7, was passed in October 1996. FINRA credited James Knight with the SIE, which began in October 2018.
Where did James Knight work before BHK Securities?
Before BHK Securities, James Knight was registered through Wachovia Securities, LLC, February 2000 to April 2006.
Where is James Knight based?
James Knight’s registered office is in Birmingham, AL.
Is James Knight registered with FINRA?
Yes. James Knight has a current broker registration, under CRD 2787109.
Source: FINRA BrokerCheck
How can I verify James Knight’s record?
Search CRD 2787109 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish James Knight’s full registration record.
