Sheryl L. 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.
Sheryl Lee King, who also goes by Sheryl L King, Sheryl Tompkins, Sheryl Lee Walton, was a registered financial professional .
Sheryl is a previously registered financial professional and started their career in finance in 1987. Sheryl had worked at 15 firms and has passed the Series 66, 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
January 28, 2015 - March 10, 2015
CAPITAL ONE ADVISORS, LLC
January 2, 2015 - March 10, 2015
CAPITAL ONE INVESTING, LLC
September 17, 2013 - January 28, 2015
CAPITAL ONE FINANCIAL ADVISORS LLC
April 9, 2012 - January 2, 2015
CAPITAL ONE INVESTMENT SERVICES LLC
May 2, 2009 - March 16, 2012
CHASE INVESTMENT SERVICES CORP.
April 16, 2008 - May 2, 2009
WAMU INVESTMENTS, INC.
May 22, 2006 - January 24, 2007
BBVA COMPASS INVESTMENT SOLUTIONS, INC
December 9, 2004 - April 1, 2006
CITIGROUP GLOBAL MARKETS INC.
June 6, 2001 - December 2, 2004
WAMU INVESTMENTS, INC.
December 13, 2000 - June 16, 2001
WELLS FARGO INVESTMENTS, LLC
November 3, 2000 - December 13, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
May 24, 2000 - May 2, 2001
WELLS FARGO SECURITIES INC.
January 3, 1995 - December 7, 1998
BANK UNITED SECURITIES CORP.
December 11, 1994 - January 3, 1995
TOUCHSTONE SECURITIES, INC.
November 7, 1994 - January 3, 1995
TOUCHSTONE SECURITIES, INC.
August 19, 1994 - November 7, 1994
ESSEX NATIONAL SECURITIES, LLC
September 1, 1992 - August 22, 1994
TOUCHSTONE SECURITIES, INC.
May 11, 1987 - September 1, 1992
CAPITAL BROKERAGE CORPORATION
State Registrations and Notice Filings
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Exams
Current Firm
CAPITAL ONE ADVISORS, LLC
CRD#: 136865 / SEC#: 801-64662
Contact information
Documents
Red Flags
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