Stephen R. 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.
Stephen Ray King, who also goes by Steve Ray King, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1984. Stephen had worked at 19 firms and has passed the Series 65, Series 63, Series 55, Series 3, Series 7, Series 53, Series 4 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
February 6, 2014 - November 1, 2023
STRATEGIC PORTFOLIO SOLUTIONS, LLC
August 29, 2013 - February 5, 2014
SOUTHEAST INVESTMENTS, N.C., INC.
June 19, 2013 - February 5, 2014
SOUTHEAST INVESTMENTS, N.C., INC.
July 2, 2009 - June 10, 2013
TFR ADVISORS LLP
August 1, 2007 - November 17, 2011
WFG ADVISORS, LP
July 18, 2007 - June 3, 2013
WFG INVESTMENTS, INC.
May 30, 2006 - July 19, 2007
VSR FINANCIAL SERVICES, INC.
May 30, 2006 - July 19, 2007
VSR FINANCIAL SERVICES, INC.
January 31, 2006 - October 20, 2006
TFR ADVISORS LLP
April 28, 2005 - June 1, 2006
FFEC WEALTH PARTNERS LLC
November 10, 2004 - April 28, 2005
MOMENTUM INDEPENDENT NETWORK INC.
October 25, 2004 - November 12, 2004
AVANTAX INVESTMENT SERVICES, INC.
October 17, 2003 - November 4, 2004
MOMENTUM INDEPENDENT NETWORK INC.
September 11, 2002 - November 4, 2004
MOMENTUM INDEPENDENT NETWORK INC.
January 4, 2001 - April 27, 2004
HILLTOP SECURITIES INC.
January 4, 2001 - April 27, 2004
HILLTOP SECURITIES INC.
August 30, 1999 - April 16, 2003
MYDISCOUNTBROKER.COM
March 19, 1997 - August 18, 1999
IRC SECURITIES
December 22, 1995 - August 26, 1999
SPELMAN & CO., INC.
August 25, 1994 - May 22, 1995
CITIGROUP GLOBAL MARKETS INC.
September 10, 1993 - August 19, 1994
A. G. EDWARDS & SONS, INC.
March 31, 1993 - September 7, 1993
INVEST FINANCIAL CORPORATION
February 11, 1991 - March 10, 1993
A. G. EDWARDS & SONS, INC.
August 25, 1989 - October 22, 1990
PRUDENTIAL EQUITY GROUP, LLC
June 9, 1987 - August 25, 1989
THOMSON MCKINNON SECURITIES INC.
November 23, 1984 - May 8, 1987
E. F. HUTTON & COMPANY INC
Primary Firm SEC Registration
STRATEGIC PORTFOLIO SOLUTIONS, LLC
CRD#: 156374 / SEC#: 801-131029
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
Series 55
Date: 7/27/2000
Limited Representative-Equity Trader ExamCurrent Firm
STRATEGIC PORTFOLIO SOLUTIONS, LLC
CRD#: 156374 / SEC#: 801-131029
Contact information
SEC notice filing (4 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 355 |
| AUM (Assets Under Management) | $ 112,019,091 |
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.
