Thomas N. King
Professional summary
Being a previously registered professional could mean that this person 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.
Thomas Norwood King, who also goes by Tom King, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1985. Thomas had worked at 4 firms and has passed the Series 63, Series 7, Series 6, Series 22 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 6, 2018 - August 7, 2019
BLUE CHIP FINANCIAL ADVISORS, LLC
February 10, 2004 - December 31, 2017
BLUE CHIP FINANCIAL ADVISORS, LLC
May 31, 2002 - November 19, 2002
PARK AVENUE SECURITIES LLC
April 21, 1988 - May 14, 2002
MML INVESTORS SERVICES, LLC
February 29, 1988 - March 3, 1988
MML INVESTORS SERVICES, LLC
February 21, 1985 - March 15, 1988
GREEN HILL FINANCIAL SERVICE CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
BLUE CHIP FINANCIAL ADVISORS, LLC
CRD#: 115048 / SEC#:
Contact information
Exempt reporting advisers
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| Georgia | ERA - Withdrawn | 3/27/2015 |
Red Flags
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.
