Rickie L. 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.
Rickie Lee King, who also goes by Rick Lee King, was a registered financial advisor .
Rickie is a previously registered financial advisor and started their career in finance in 1983. Rickie had worked at 10 firms and has passed the Series 65, Series 63, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 28, 2004 - November 29, 2004
SECURITIES SERVICE NETWORK, LLC
April 2, 2004 - June 25, 2004
MSI FINANCIAL SERVICES, INC.
November 5, 2003 - June 25, 2004
METROPOLITAN LIFE INSURANCE COMPANY
November 5, 2003 - June 25, 2004
MSI FINANCIAL SERVICES, INC.
January 25, 1990 - November 3, 2003
OSAIC WEALTH, INC.
December 14, 1989 - February 13, 1990
INTEGRATED RESOURCES EQUITY CORPORATION
December 11, 1989 - January 2, 1990
OSAIC WEALTH, INC.
July 1, 1986 - December 21, 1989
INVESTACORP, INC.
April 22, 1986 - July 10, 1986
CARDELL & ASSOCIATES, INCORPORATED
January 27, 1986 - April 25, 1986
WS GRIFFITH SECURITIES, INC.
August 15, 1984 - January 31, 1986
SENTRA SECURITIES CORPORATION
December 27, 1983 - September 21, 1984
PPS SECURITIES CORP.
March 28, 1983 - August 29, 1984
WS GRIFFITH SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
SECURITIES SERVICE NETWORK, LLC
CRD#: 13318 / SEC#: , 8-28980
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVISOR GROUP HOLDINGS, INC. | SHARE HOLDER | |
| BLANCATO, PHILIP SALVATORE | DIRECTOR | 2122221 |
| GIOVANNIELLO, JOSEPH JR | DIRECTOR | 3086071 |
| GODBEE, CRYSTAL LEE | VICE PRESIDENT OF OPERATIONS | 5629010 |
| KLIMAS, RONALD THOMAS | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2321602 |
| MAAS, JONATHAN ELMER | VICE PRESIDENT, TRADING | 2793069 |
| MCKENNA, NINA | SECRETARY | 6302448 |
| PATEL, JAYAPRAKASH MOHANBHAI | SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER | 2973297 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| WILKINSON, WADE SHANNON | PRESIDENT AND CEO | 2312703 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 5 |
| Bond | 1 |
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.
