Donald B. 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.
Donald Broughton King, who also goes by Don King, was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1985. Donald had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 22 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
May 16, 2005 - June 3, 2020
LPL FINANCIAL LLC
May 16, 2005 - June 3, 2020
LPL FINANCIAL LLC
September 25, 2000 - May 23, 2005
PIPER SANDLER & CO.
September 1, 2000 - May 23, 2005
PIPER SANDLER & CO.
July 12, 1999 - September 6, 2000
BANC OF AMERICA INVESTMENT SERVICES, INC.
January 28, 1997 - July 12, 1999
BA INVESTMENT SERVICES, INC.
July 15, 1996 - January 15, 1997
WELLS FARGO SECURITIES INC.
May 5, 1995 - November 17, 1995
ESSEX NATIONAL SECURITIES, LLC
December 9, 1994 - July 15, 1996
FIRST INTERSTATE INVESTMENTS,INC.
May 22, 1992 - January 5, 1995
IDS LIFE INSURANCE COMPANY
May 22, 1992 - January 5, 1995
AMERIPRISE FINANCIAL SERVICES, LLC
April 23, 1991 - December 31, 1991
CUNA BROKERAGE SERVICES, INC.
April 23, 1987 - April 19, 1991
GRIFFIN FINANCIAL SERVICES
February 19, 1987 - December 10, 1987
CADARET, GRANT & CO., INC.
June 13, 1985 - September 19, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
June 13, 1985 - September 22, 1986
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
