Gerard W. King
Professional summary
Gerard William King was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Gerard is a previously registered financial professional and started their career in finance in 1988. Prior to being barred, Gerard had worked at 5 firms, which includes SUNPOINT SECURITIES INC., AFM INVESTMENTS INC., PRINCETON FINANCIAL GROUP INC., MLB INVESTMENTS LTD., MONMOUTH INVESTMENTS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 23, 1991 - December 13, 1996
SUNPOINT SECURITIES, INC.
April 2, 1991 - August 23, 1991
AFM INVESTMENTS, INC.
April 25, 1990 - April 29, 1991
PRINCETON FINANCIAL GROUP, INC.
April 5, 1989 - May 11, 1990
MLB INVESTMENTS, LTD.
September 14, 1988 - April 11, 1989
MONMOUTH INVESTMENTS, 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
Series 62
Date: 9/13/1988
Corporate Securities Limited Representative ExaminationCurrent Firm
SUNPOINT SECURITIES, INC.
CRD#: 25442 / SEC#: , 8-41741
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LEWIS, VAN ROBERSON | CEO/PRESIDENT/FOUNDER | 1562328 |
| CHILDERS, DIANNE BAILEY | VP COMPLIANCE | |
| HAGEN, BRETT WILLIAM | CHIEF OPERATIONS OFFICER | |
| KATZ, DONALD LESTER | FINOP/EXECUTIVE VICE PRESIDENT ACCOUNTING AND COMPLIANCE | |
| SAPAUGH, MARVIN WAYNE | EXECUTIVE V.P. OF INVESTMENT SERVICES |
Disclosures
| Regulatory Event | 14 |
| Civil Event | 1 |
| Arbitration | 11 |
| Bond | 1 |
Red Flags
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