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Sheryl Lee King

CRD# 1663546·Registered 1987 - 2015
Previously Registered: Being a previously registered professional could mean that Sheryl 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.

Professional Summary

Sheryl Lee King, who also goes by Sheryl L King, Sheryl Tompkins, Sheryl Lee Walton, was a registered financial advisor. Sheryl was a previously registered financial professional and started their career in finance 1987 - 2015. Sheryl had worked at 15 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Sheryl L King, Sheryl Tompkins, Sheryl Lee Walton

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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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

39 years in the financial services industry

Current & Past Employments

CAPITAL ONE ADVISORS, LLC·CRD# 136865
RIA
Seattle, WA
January 28, 2015 - March 10, 2015
CAPITAL ONE INVESTING, LLC·CRD# 45744
BD
Dowlen, TX
January 2, 2015 - March 10, 2015
CAPITAL ONE FINANCIAL ADVISORS LLC·CRD# 127236
RIA
Houston, TX
September 17, 2013 - January 28, 2015
CAPITAL ONE INVESTMENT SERVICES LLC·CRD# 25658
BD
Houston, TX
April 9, 2012 - January 2, 2015
CHASE INVESTMENT SERVICES CORP.·CRD# 25574
BD
Pasadena, TX
May 2, 2009 - March 16, 2012
WAMU INVESTMENTS, INC.·CRD# 599
BD
Deer Park, TX
April 16, 2008 - May 2, 2009
BBVA COMPASS INVESTMENT SOLUTIONS, INC·CRD# 17086
BD
Friendswood, TX
May 22, 2006 - January 24, 2007
CITIGROUP GLOBAL MARKETS INC.·CRD# 7059
BD
Houston, TX
December 9, 2004 - April 1, 2006
WAMU INVESTMENTS, INC.·CRD# 599
BD
Irvine, CA
June 6, 2001 - December 2, 2004
WELLS FARGO INVESTMENTS, LLC·CRD# 10582
BD
San Francisco, CA
December 13, 2000 - June 16, 2001
WELLS FARGO BROKERAGE SERVICES, L.L.C.·CRD# 16100
BD
Minneapolis, MN
November 3, 2000 - December 13, 2000
WELLS FARGO SECURITIES INC.·CRD# 17438
BD
San Francisco, CA
May 24, 2000 - May 2, 2001
BANK UNITED SECURITIES CORP.·CRD# 30288
BD
Houston, TX
January 3, 1995 - December 7, 1998
TOUCHSTONE SECURITIES, LLC·CRD# 1526
BD
Cincinnati, OH
December 11, 1994 - January 3, 1995
TOUCHSTONE SECURITIES, LLC·CRD# 1526
BD
November 7, 1994 - January 3, 1995
ESSEX NATIONAL SECURITIES, LLC·CRD# 25454
BD
Napa, CA
August 19, 1994 - November 7, 1994
TOUCHSTONE SECURITIES, LLC·CRD# 1526
BD
Cincinnati, OH
September 1, 1992 - August 22, 1994
CAPITAL BROKERAGE CORPORATION·CRD# 10465
BD
Glen Allen, VA
May 11, 1987 - September 1, 1992

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Current Firm

CO
CAPITAL ONE ADVISORS, LLC

CAPITAL ONE ADVISORS, LLC | SPARK 401K | SHAREBUILDER ADVISORS, LLC | SHAREBUILDER 401K

CRD#: 136865 / SEC#: 801-64662

Contact Information

Main Address

1750 Tysons Blvd 6th Floor, Mclean, VA 22102

Documents

Latest Form ADV

Part 2 Brochures

CAPITAL ONE INVESTING 401K SERVICES BROCHURE 4.01.19 (3/29/2019)

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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

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Sep 2013About the Series 66 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed May 1987About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Mar 2015About the SIE exam

Series 7 — General Securities Representative Examination

Passed Apr 1995About the Series 7 exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed May 1987About the Series 6 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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