Thomas H. 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 Hugh King SR, who also goes by Thomas Hugh King, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1984. Thomas had worked at 8 firms and has passed the Series 63, Series 7 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
March 29, 1999 - December 17, 2001
GRADY AND HATCH & COMPANY, INC.
July 25, 1997 - September 15, 1998
THE KIRCHHOFF ORGANIZATION, LTD.
August 29, 1996 - April 17, 1998
DIMEDIO AND COMPANY
April 25, 1994 - September 4, 1996
TRAUTMAN WASSERMAN & COMPANY, INC.
September 7, 1993 - March 24, 1994
INVESTORS ASSOCIATES, INC.
February 17, 1988 - July 14, 1988
SIGNATOR INVESTORS, INC.
May 15, 1984 - December 10, 1987
INVESTMENT ADVISORS & CONSULTANTS, INC.
March 16, 1984 - May 26, 1984
PFS INVESTMENTS 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
GRADY AND HATCH & COMPANY, INC.
CRD#: 14262 / SEC#: , 8-30204
Contact information
Documents
Disclosures
| Regulatory Event | 17 |
| Arbitration | 2 |
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.
