George 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.
George King IV was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1992. George had worked at 5 firms and has passed the Series 63, 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
September 13, 2011 - September 10, 2015
ROYAL BANK OF CANADA INVESTMENT MANAGEMENT(USA) LIMITED
December 7, 2000 - July 29, 2009
SANFORD C. BERNSTEIN & CO., LLC
November 15, 1999 - December 7, 2000
SANFORD C. BERNSTEIN & CO., INC.
July 25, 1994 - November 5, 1999
CREDIT SUISSE SECURITIES (USA) LLC
January 28, 1992 - June 28, 1994
CONSECO EQUITY SALES, 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
ROYAL BANK OF CANADA INVESTMENT MANAGEMENT(USA) LIMITED
CRD#: 112284 / SEC#: 801-55108
Contact information
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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