Stephen Philip King
Professional Summary
Stephen Philip King was a registered financial advisor. Stephen was a previously registered financial professional and started their career in finance 1986 - 2023. Stephen had worked at 10 firms and has passed the Series 63, Series 99TO, Series 52TO, Series 79TO, SIE, Series 7, Series 9, Series 10, Series 53, Series 27, Series 24, Series 4, Series 14 and Series 8 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
40 years in the financial services industry
Current & Past Employments
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Current Firm
CANTONE RESARCH INC. | LINE SECURITIES, INC. | CANTONE RESEARCH INC.
Contact Information
Main Address
36 Corbett Way, Eatontown, NJ 07724Phone Number
(732) 450-3500Established
New Jersey since 02/14/1989Firm Type
CorporationFiscal Year End
DecemberFirm Size
Small# of Employees
9Documents
Direct owners and executive officers
Disclosures
Regulatory Event
13Civil Event
1Arbitration
2Bond
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jan 2023About the Series 9 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Jan 2023About the Series 10 examSeries 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Jan 1990Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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