Abraham M. 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.
Abraham Mendele King, who also goes by Abe King, Abraham Mendle King, was a registered financial professional .
Abraham is a previously registered financial professional and started their career in finance in 1985. Abraham had worked at 6 firms and has passed the Series 63, Series 79, Series 55, Series 3, Series 7, Series 27, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 25, 2012 - April 2, 2014
WTS PROPRIETARY TRADING GROUP LLC
June 7, 2011 - October 25, 2013
SGI SECURITIES LLC
September 23, 2004 - November 9, 2007
KING FINANCIAL SERVICES, INC.
June 3, 2003 - November 9, 2009
TRILLIUM BROKERAGE SERVICES, LLC
April 21, 1998 - June 5, 2003
HEARTLAND SECURITIES CORP.
May 12, 1997 - June 9, 1998
ICAPITAL MARKETS LLC
February 12, 1991 - November 22, 2000
KING FINANCIAL SERVICES, INC.
March 26, 1985 - March 27, 1996
ICAPITAL MARKETS LLC
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: 10/28/1999
Limited Representative-Equity Trader ExamCurrent Firm
WTS PROPRIETARY TRADING GROUP LLC
CRD#: 148117 / SEC#: , 8-67986
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
Red Flags
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