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CK

Cathy A. King

RANCE KING SECURITIES
Long Beach, CA 90803-6104
Some features on this profile are disabled
CRD#: 1374200
CK

Professional summary

Cathy Ann King, who also goes by Cathy Ann Hanson, is a registered financial professional currently at RANCE KING SECURITIES CORP. located in Long Beach, California.

Cathy is registered as a RR (Registered Representative) and started their career in finance in 1985. Cathy has worked at 2 firms and has passed the SIE, Series 22 and Series 39 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Cathy Ann Hanson

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Cathy Ann King's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

November 10, 1986 - Present

RANCE KING SECURITIES CORP.

Office #1: 3737 E. Broadway, Long Beach, CA 90803-6104Office #2: 3737 E Broadway, Long Beach, CA 90803
BD
CRD#: 15737
Long Beach, CA
Past

June 28, 1985 - January 9, 1986

IDM SECURITIES CORPORATION

BD
CRD#: 10893

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(11/10/1986)

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 22
Date: 6/27/1985
Direct Participation Programs Representative Examination
Principal/Supervisory Exam
RR
Series 39
Date: 6/12/1997
Direct Participation Programs Principal Examination
SRO Registrations
RR
FINRA

Current Firm

RK
RANCE KING SECURITIES CORP.
R.K. SECURITIES | RANCE KING SECURITIES CORP.

CRD#: 15737 / SEC#: , 8-31539

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
3737 E. Broadway, Long Beach, CA 90803-6104
Mailing Address
3737 E. Broadway, Long Beach, CA 90803-6104
Phone number
(562) 240-1000
Established
California since 06/29/1984
Firm type
Corporation
Fiscal year end
January
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
KING, WILLIAM RANCE JRPRESIDENT(CEO)CFO/TREASURER1309811
FREEBORN, JOHN WILLIAMDIRECTOR OF BROKER DEALER1260874
GRIFFITH, DAVID MICHAELCOUNSEL/CCO/POO1586738
KING, STEVEN SCOTTVICE-PRESIDENT- OFFICER3081854
RANCE KING SECURITIES CORP.VICE-PRESIDENT15737

Disclosures

Regulatory Event2

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.

Company Information

RANCE KING SECURITIES CORP.

CRD#: 15737Long Beach, CA 90803-6104

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