Paul D. 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.
Paul Douglas King, who also goes by Paul King, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1989. Paul had worked at 3 firms and has passed the Series 65, Series 63, Series 7, Series 3, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 15, 1993 - June 28, 2000
KING MANAGEMENT COMPANY
April 26, 1990 - September 15, 1992
ROTH CAPITAL PARTNERS, LLC
July 18, 1989 - May 1, 1990
TALLEY, MCNEIL & CO., 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
Current Firm
KING MANAGEMENT COMPANY
CRD#: 31043 / SEC#: , 8-45309
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
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.
