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RK

Robert Steven King

CRD# 1055740·Registered 1982 - 2014
Previously Registered: Being a previously registered professional could mean that Robert is no longer operating under the supervision of the SEC or FINRA. That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Professional Summary

Robert Steven King, who also goes by R Steven King, Steve King, was a registered financial advisor. Robert was a previously registered financial professional and started their career in finance 1982 - 2014. Robert had worked at 8 firms and has passed the Series 63, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

R Steven King, Steve King

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.

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Years of Experience

44 years in the financial services industry

Current & Past Employments

NORTHSTAR SECURITIES, LLC·CRD# 150409
BD
Greenwood Village, CO
June 16, 2011 - February 4, 2014
WELLS INVESTMENT SECURITIES,INC.·CRD# 15252
BD
Norcross, GA
March 14, 2002 - July 14, 2010
INVESCO DISTRIBUTORS, INC.·CRD# 289
BD
Houston, TX
December 2, 1999 - August 4, 2000
DWS DISTRIBUTORS, INC.·CRD# 37306
BD
Chicago, IL
April 1, 1999 - December 16, 1999
STATE STREET RESEARCH INVESTMENT SERVICES, INC.·CRD# 17580
BD
Boston, MA
November 23, 1992 - March 1, 1999
KRUPP SECURITIES CORPORATION·CRD# 10908
BD
Boston, MA
November 5, 1987 - October 27, 1992
CARDINAL SECURITIES CORPORATION·CRD# 10521
BD
February 10, 1983 - October 20, 1987
T. BOB INVESTMENTS, INC.·CRD# 7757
BD
July 22, 1982 - January 17, 1983

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Current Firm

NS
NORTHSTAR SECURITIES, LLC

NORTHSTAR REALTY SECURITIES, LLC | NRF CAPITAL MARKETS, LLC | NORTHSTAR SECURITIES, LLC

CRD#: 150409 / SEC#: 8-68254
BD
Terminated by SEC on 10/28/2018

Contact Information

Established

Delaware since 03/13/2009

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
COLONY S2K HOLDINGS LLCOWNER—
BEATON, DANIEL STEWARTFINOP4240769
KANTOR, STEVEN LLOYDCHIEF EXECUTIVE OFFICER1304537
WHEALON, KRISTEN ANNCHIEF COMPLIANCE OFFICER3105081

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jul 1983About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Jul 1982About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Jan 1986About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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