Maura 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.
Maura Anne King, who also goes by Maura A King, was a registered financial professional .
Maura is a previously registered financial professional and started their career in finance in 1989. Maura had worked at 9 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 1, 2010 - March 12, 2012
GLEACHER & COMPANY SECURITIES, INC.
October 29, 2009 - November 22, 2010
TD SECURITIES (USA) LLC
August 9, 2001 - August 18, 2005
UBS SECURITIES LLC
March 8, 2000 - November 6, 2001
UBS FINANCIAL SERVICES INC.
May 8, 1998 - March 15, 2000
BARCLAYS CAPITAL INC.
September 12, 1996 - November 3, 1997
CITICORP INVESTMENT SERVICES
August 22, 1994 - March 25, 1996
M. J. WHITMAN, INC.
March 20, 1992 - August 22, 1994
ALEX. BROWN & SONS INCORPORATED
August 22, 1989 - February 28, 1992
PRUDENTIAL EQUITY GROUP, LLC
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
GLEACHER & COMPANY SECURITIES, INC.
CRD#: 298 / SEC#: , 8-2018
Contact information
Documents
Disclosures
| Regulatory Event | 33 |
| Civil Event | 1 |
| Arbitration | 10 |
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.
