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JK

John P. King

OPTIMX SECURITIES LLC
WESTPORT, CT 06880
Some features on this profile are disabled
CRD#: 1389672
JK

Professional summary

John Patrick King is a registered financial professional currently at OPTIMX SECURITIES LLC located in Westport, Connecticut.

John is registered as a RR (Registered Representative) and started their career in finance in 1992. John has worked at 14 firms and has passed the Series 63, Series 3, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 John Patrick King's 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

July 23, 2025 - Present

OPTIMX SECURITIES LLC

Office #1: 101 Franklin Street Suite 4, Westport, CT 06880
BD
CRD#: 290963
WESTPORT, CT
Past

July 23, 2021 - June 25, 2024

BESTEX RESEARCH SECURITIES, LLC

BD
CRD#: 309569
STAMFORD, CT
Past

March 23, 2021 - May 3, 2022

SRT SECURITIES LLC

BD
CRD#: 33725
BIRMINGHAM, MI
Past

February 3, 2021 - March 3, 2021

TEXTURE CAPITAL, INC.

BD
CRD#: 300853
NEW YORK, NY
Past

June 12, 2018 - October 15, 2019

DASH FINANCIAL TECHNOLOGIES LLC

BD
CRD#: 104031
CHICAGO, IL
Past

March 27, 2012 - September 19, 2012

AX TRADING, LLC

BD
CRD#: 154702
NEW YORK, NY
Past

July 30, 2007 - September 19, 2007

MILETUS TRADING, LLC

BD
CRD#: 127732
NEW YORK, NY
Past

February 2, 2001 - November 8, 2011

LIQUIDNET, INC.

BD
CRD#: 103987
CHICAGO, IL
Past

July 5, 2000 - August 10, 2000

BRIDGE TRADING COMPANY

BD
CRD#: 6822
ST. LOUIS, MO
Past

January 7, 1998 - September 14, 1998

MILLER TABAK HIRSCH & CO.

BD
CRD#: 10384
NEW YORK, NY
Past

July 31, 1996 - November 12, 1997

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

July 25, 1995 - March 27, 1996

WACHOVIA SECURITIES, INC.

BD
CRD#: 431
CHARLOTTE, NC
Past

April 1, 1993 - March 27, 1995

PERSHING LLC

BD
CRD#: 7560
JERSEY CITY, NJ
Past

April 1, 1992 - March 31, 1993

INTESA SANPAOLO IMI SECURITIES CORP.

BD
CRD#: 19418
NEW YORK, NY

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
(9/4/2025)
RR
Colorado
(7/23/2025)
RR
Connecticut
(7/23/2025)
RR
Iowa
(7/24/2025)
RR
Maryland
(10/16/2025)
RR
Massachusetts
(7/23/2025)
RR
Missouri
(8/12/2025)
RR
New Jersey
(8/7/2025)
RR
New York
(8/17/2025)
RR
Ohio
(7/24/2025)
RR
Pennsylvania
(7/24/2025)
RR
Virginia
(7/24/2025)
RR
Wisconsin
(7/23/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 7/31/2018
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 3/1/2022
National Commodity Futures Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/31/1992
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

OS
OPTIMX SECURITIES LLC
OPTIMX SECURITIES LLC | SURFTRADE LLC

CRD#: 290963 / SEC#: , 8-70041

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

Main Address
101 Franklin Street Suite 4, Westport, CT 06880
Mailing Address
101 Franklin Street Suite 4, Westport, CT 06880
Phone number
(310) 907-6370
Established
Nevada since 12/01/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (22 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
OPTIMX MARKETSOWNER
BARNETT, DAVID ALLENCEO4478679
LEGAYE, DANIEL EUGENE SRFINOP1055035
MARTEL, LAWRENCE GILBERTCCO2177025

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

OPTIMX SECURITIES LLC

CRD#: 290963Westport, CT 06880

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