William P. 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.
William Preston King II, who also goes by William Preston King, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1985. William had worked at 8 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 25, 1988 - January 25, 1989
J. T. MORAN & CO., INC.
May 3, 1988 - September 20, 1988
R.C. STAMM & CO., INC.
November 9, 1987 - December 16, 1987
PHILIPS, APPEL & WALDEN, INC.
April 7, 1987 - December 1, 1987
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
December 9, 1986 - March 11, 1987
MOSELEY SECURITIES CORPORATION
February 1, 1986 - December 26, 1986
CIBC WORLD MARKETS CORP.
October 28, 1985 - November 14, 1985
PG SECURITIES CORP.
October 22, 1985 - January 13, 1986
OMNI MUTUAL, 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
J. T. MORAN & CO., INC.
CRD#: 15655 / SEC#: , 8-37337
Contact information
Documents
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.
