Retha M. 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.
Retha Michelle King, who also goes by Retha Michelle Jones, was a registered financial professional .
Retha is a previously registered financial professional and started their career in finance in 1986. Retha had worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 1, 2010 - April 8, 2024
INVESCO DISTRIBUTORS, INC.
March 18, 2005 - June 1, 2010
INVESCO CAPITAL MARKETS, INC.
October 9, 2000 - June 3, 2004
VALIC FINANCIAL ADVISORS, INC.
October 17, 1995 - June 20, 2000
INVESCO CAPITAL MARKETS, INC.
September 17, 1993 - November 30, 1993
CIBC WORLD MARKETS CORP.
March 27, 1990 - November 29, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 6, 1987 - December 5, 1988
FIDELITY BROKERAGE SERVICES LLC
February 14, 1986 - December 12, 1986
FIDELITY DISTRIBUTORS CORPORATION
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
INVESCO DISTRIBUTORS, INC.
CRD#: 7369 / SEC#: , 8-21323
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INVESCO ADVISERS, INC. | DIRECT OWNER | |
| GREGSON, MARK WILLIAM | CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATING OFFICER/FINOP | 2630230 |
| HANCOCK, TRISHA BELL | CHIEF COMPLIANCE OFFICER | 4373744 |
| HARRIS, JERRY CLINTON II | DIRECTOR | 3275064 |
| KRAMER, BRIAN KEITH | DIRECTOR | 4132102 |
| MCDONOUGH, JOHN CARLIN | PRESIDENT/CEO/DIRECTOR | 2363299 |
| WISDOM, CRISSIE MCMENNAMY | ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | 2793857 |
Disclosures
| Regulatory Event | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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