Stephen P. King
Professional summary
Stephen Philip King was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Stephen is a previously registered financial professional and started their career in finance in 1986. Prior to being barred, Stephen had worked at 10 firms, which includes CANTONE RESEARCH INC., DAIWA CAPITAL MARKETS AMERICA INC., ADIRONDACK ELECTRONIC MARKETS LLC, KBC SECURITIES USA LLC, RBC CAPITAL MARKETS CORPORATION, DEUTSCHE SECURITIES AUSTRALIA INC., DEUTSCHE BANK SECURITIES INC., DEUTSCHE BANK CAPITAL CORPORATION, NIKKO ALTERNATIVE ASSET MANAGEMENT INC., JSC SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 17, 2014 - September 5, 2023
CANTONE RESEARCH INC.
November 20, 2010 - October 30, 2013
DAIWA CAPITAL MARKETS AMERICA INC.
September 15, 2000 - September 25, 2001
ADIRONDACK ELECTRONIC MARKETS LLC
January 21, 2000 - December 8, 2010
KBC SECURITIES USA LLC
August 24, 1998 - January 3, 2000
RBC CAPITAL MARKETS CORPORATION
December 8, 1994 - September 11, 1998
DEUTSCHE SECURITIES AUSTRALIA, INC.
September 30, 1993 - August 25, 1998
DEUTSCHE BANK SECURITIES INC.
August 9, 1993 - September 30, 1993
DEUTSCHE BANK CAPITAL CORPORATION
August 5, 1987 - July 26, 1993
NIKKO ALTERNATIVE ASSET MANAGEMENT, INC.
November 18, 1986 - July 6, 1987
JSC SECURITIES, INC.
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 8
Date: 1/25/1990
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CANTONE RESEARCH INC.
CRD#: 26314 / SEC#: , 8-41940
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 13 |
| Civil Event | 1 |
| Arbitration | 2 |
| Bond | 1 |
Red Flags
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