William W. King
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CRD#: 1432593
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 Worthen King, who also goes by Bill 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 1 firm and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Biography
William W. King, Managing Director, and International Wealth Advisor has been with Merrill Lynch since 1985. Bill and his team develop strategies designed to help clients build and preserve wealth. Their clients include businesses, non-profit organizations, and affluent families located throughout the United States. Bill and his team have the privilege of helping their valued clients with corporate cash management needs, portfolio management, provide access to Bank of America’s loans, insurance, and retirement and estate planning services as well as other related services. Bill has a chemical engineering degree from Bucknell University and a MBA degree in finance from New York University.
Question & Answer
What are your service offerings?
Loans/credit services
Trading individual securities
Trust & estate planning
Philanthropic services
Financial planning
Retirement planning
What is your current number of clients?
Greater than 100
What is your minimum asset requirement?
5M
Are you a "fiduciary"?
No
Aliases
Bill King
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.
I*531252 For profit or not for profit: Entity For Profit Name of outside business organization: KINGS GAMBIT SAILBOAT LLC Investment related: N Address of business: Vero Beach, Florida, 32967 Nature of business: ["Limited Liability Company"] Position, title, association: ["General Partner/Managing Member"], Start date of relationship: 9/27/2021 Number of hours devoted: 2 hour(s) Weekly Number of hours devoted during trading hours: 0 Duties: , It is just an account to own my sailboat for personal recreations use. I*9642 For profit or not for profit: Name of outside business organization: 28 Peconic Avenue Investment related: Address of business: Shelter Island, New York 11965 Nature of business: , Position, title, association: , Start date of relationship: 6/15/2020 Number of hours devoted: 0 hour(s) Number of hours devoted during trading hours: 0 Duties: I*1044359 For profit or not for profit: Entity Charitable Name of outside business organization: First Presbyterian Church of Vero Beach Investment related: N Address of business: VEro Beach, Florida, 32960 Nature of business: ["Church or Religious Organization"] Position, title, association: ["Committee"], [["Fundraising committee"]] Start date of relationship: 1/1/2022 Number of hours devoted: 10 hour(s) Yearly Number of hours devoted during trading hours: 0 Duties: , A member of the standing committee tasked with stewardship for the church.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneEducation
1981 - 1984
1975 - 1979
Experience
Past
November 2, 1995 - May 4, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
Vero Beach, FL
Past
November 19, 1985 - May 4, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
VERO BEACH, FL
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
MERRILL LYNCH PIERCE FENNER & SMITH | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | MERRILL LYNCH PIERCE FENNER & SMITH INC.
CRD#: 7691 / SEC#: 801-14235, 8-7221
RIA
Registered Investment Advisory firm - SEC (12/8/1978 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
MERRILL LYNCH PIERCE FENNER & SMITH | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | MERRILL LYNCH PIERCE FENNER & SMITH INC.
CRD#: 7691 / SEC#: 801-14235, 8-7221
RIA
Registered Investment Advisory firm - SEC (12/8/1978 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
One Bryant Park, New York, NY 10036
Mailing Address
150 N College St Nc1-028-29-04, Charlotte, NC 28255
Phone number
(800) 637-7455
Established
Delaware since 11/10/1958
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
33,689
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
Company Information
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Managing DirectorCRD#: 7691TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
