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RK

Robert S. King

CREWE CAPITAL
New York, NY 10036
Some features on this profile are disabled
CRD#: 1608075
RK

Professional summary

Robert S King is a registered financial professional currently at CREWE CAPITAL located in New York, New York.

Robert is registered as a RR (Registered Representative) and started their career in finance in 1987. Robert has worked at 9 firms and has passed the Series 63, Series 99TO, Series 82TO, SIE, Series 79, Series 7, Series 27 and Series 24 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 Robert S 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

September 20, 2011 - Present

CREWE CAPITAL

Office #1: 1540 Broadway, Suite 1010, New York, NY 10036
BD
CRD#: 152527
New York, NY
Past

April 4, 2012 - July 20, 2015

AVALON SECURITIES, LTD.

BD
CRD#: 30522
NEW YORK, NY
Past

April 5, 2005 - November 29, 2006

MAXIM GROUP LLC

BD
CRD#: 120708
NEW YORK, NY
Past

November 23, 1999 - March 14, 2005

HD BROUS & CO., INC.

BD
CRD#: 22062
GREAT NECK, NY
Past

July 25, 1990 - September 4, 1990

DAKIN SECURITIES CORPORATION

BD
CRD#: 6142
Past

November 13, 1989 - May 10, 1990

LCP CAPITAL CORP.

BD
CRD#: 14469
Past

June 27, 1988 - February 7, 1989

L. H. ALTON & COMPANY

BD
CRD#: 15682
Past

March 23, 1987 - May 11, 1988

ACUMENT SECURITIES, INC.

BD
CRD#: 7661
Past

January 21, 1987 - March 27, 1987

H.J. MEYERS & CO., INC.

BD
CRD#: 15609

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
(7/29/2015)
RR
New York
(9/23/2011)
RR
Utah
(7/29/2015)

Exams

State Security Law Exam
RR
Series 63
Date: 3/29/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 82TO
Date: 1/2/2023
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 8/15/2011
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 3/22/2010
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 8/12/2010
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/20/2010
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CC
CREWE CAPITAL
CENTENNIAL PEAKS CAPITAL | FIVE PRIME ADVISORS, LLC | CREWE CAPITAL, LLC | CREWE CAPITAL | CREWE

CRD#: 152527 / SEC#: , 8-68460

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

Main Address
650 S Main St Suite 777, Salt Lake City, UT 84101
Mailing Address
650 S Main St Suite 777, Salt Lake City, UT 84101
Phone number
(385) 322-3100
Established
New York since 10/24/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
CREWE HOLDINGS, LLC99% MEMBERSHIP OWNERSHIP IN CREWE CAPITAL, LLC
BENNETT, MICHAEL PATRICKPRINCIPAL OPERATING OFFICER5408084
BENNETT, MICHAEL PATRICKMANAGING PARTNER, CHIEF EXECUTIVE OFFICER, EXECUTIVE REPRESENTATIVE5408084
KING, ROBERT SMEMBER, FINANCIAL OPERATIONS PRINCIPAL1608075
KING, ROBERT SPRINCIPAL FINANCIAL OFFICER1608075
MELLIES, CADE STEWARTPARTNER, CHIEF COMPLIANCE OFFICER6661420
MITCHELL, JESSE THOMASPARTNER7299786
RASMUSSEN, JARED JAYPARTNER6821885

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

CREWE CAPITAL

CRD#: 152527New York, NY 10036

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