Jack A. 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.
Jack Alan King, who also goes by Jack A King, Jack King, Jack Alan Schwartzberg, Jack Schwartzberg, was a registered financial professional .
Jack is a previously registered financial professional and started their career in finance in 1988. Jack had worked at 11 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 6, 2016 - April 14, 2022
RAYMOND JAMES & ASSOCIATES, INC.
March 4, 2014 - June 3, 2016
MORGAN STANLEY
June 1, 2009 - June 3, 2016
MORGAN STANLEY
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
April 13, 2005 - April 2, 2007
MORGAN STANLEY DW INC.
May 25, 2004 - April 14, 2005
CITIGROUP GLOBAL MARKETS INC.
August 25, 2000 - November 30, 2000
CITIGROUP GLOBAL MARKETS INC.
August 5, 2000 - May 27, 2004
WELLS FARGO CLEARING SERVICES, LLC
April 4, 2000 - August 5, 2000
GLEACHER & COMPANY SECURITIES, INC.
December 21, 1999 - March 22, 2000
GOLDMAN SACHS & CO. LLC
January 29, 1999 - December 20, 1999
PERSHING LLC
September 25, 1996 - February 9, 1999
J.P. MORGAN SECURITIES LLC
February 15, 1995 - September 19, 1996
H.C.WAINWRIGHT & CO., LLC
June 22, 1988 - January 26, 1995
J.P. MORGAN SECURITIES LLC
Primary Firm SEC Registration
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
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
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | HOLDING COMPANY | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| BUNN, JAMES EDWARD | DIRECTOR | 3130320 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| DELEON, ALLYSSA NICOLE | PRINCIPAL FINANCIAL OFFICER / FINOP | 6902665 |
| ELWYN, TASHTEGO SPRING | PRESIDENT - CHIEF EXECUTIVE OFFICER DIRECTOR | 2319098 |
| MARTIN, PHILIP ROGER | RIA CHIEF COMPLIANCE OFFICER | 2613565 |
| RUST, KEITH G | DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL / SECRETARY | 6306997 |
| SICKLING, JAMES PHILIP | DIRECTOR | 1240810 |
Regulatory assets under management
| Total Number of Accounts | 1,070,028 |
| AUM (Assets Under Management) | $ 433,814,330,581 |
Disclosures
| Regulatory Event | 181 |
| Arbitration | 72 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
