Gaston E. King
Professional summary
Gaston Emerson King II, who also goes by Gaston Emerson King, is a registered financial professional currently at CUNA BROKERAGE SERVICES, INC. located in Allison, Iowa.
Gaston is registered as a RR (Registered Representative) and started their career in finance in 1992. Gaston has worked at 12 firms and has passed the Series 63, Series 66, Series 65, Series 6TO, SIE, Series 7, Series 6, Series 10 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Gaston Emerson King II's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 26, 2024 - Present
CUNA BROKERAGE SERVICES, INC.
April 22, 2024 - December 6, 2024
WORLD EQUITY GROUP, INC.
June 12, 2023 - March 11, 2024
CUNA BROKERAGE SERVICES, INC.
September 9, 2019 - July 5, 2022
LINCOLN FINANCIAL DISTRIBUTORS, INC.
January 7, 2016 - May 11, 2017
CR CAPITAL DISTRIBUTORS, LLC
April 24, 2015 - January 12, 2016
COREBRIDGE CAPITAL SERVICES, INC.
May 19, 2008 - August 19, 2013
AST INVESTMENT SERVICES, INC.
May 13, 2008 - August 19, 2013
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
January 24, 2007 - April 30, 2008
DIRECTED SERVICES LLC
September 20, 2004 - February 6, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 20, 2004 - February 6, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 1, 1998 - March 11, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 14, 1997 - January 8, 1999
UVEST FINANCIAL SERVICES GROUP, INC.
September 10, 1992 - July 25, 1997
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
September 10, 1992 - July 25, 1997
EQUITABLE ADVISORS, 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
(12/26/2024)
(1/1/2025)
(2/28/2025)
(12/26/2024)
(1/23/2025)
(1/6/2025)
(12/26/2024)
(1/9/2025)
Exams
Series 6TO
Date: 9/9/2019
Investment Company Products/Variable Contracts Representative ExaminationFINRA
Current Firm
CUNA BROKERAGE SERVICES, INC.
CRD#: 13941 / SEC#: 801-60099, 8-30027
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CUNA MUTUAL INVESTMENT CORPORATION | OWNER | |
| BARBATO, PAUL DAMIEN | SENIOR VICE PRESIDENT | 7064310 |
| BOAN, JOSEPH SALVATORE | PRESIDENT/DIRECTOR | 2379993 |
| BROCK, JENNY MARIE | TREASURER | 6654483 |
| COPELAND, CHRISTOPHER JUDD | DIRECTOR | 6437117 |
| HABERSTICH, MELISSA M | CHIEF COMPLIANCE OFFICER | 4190838 |
| KARLS, WILLIAM ANTON | DIRECTOR | 6847792 |
| POPPE, CHRISTINE ELIZABETH | LICENSING OFFICER | 4080909 |
| SCHULTZ, TAMMY LYNN | DIRECTOR | 7991087 |
| THOMAS, BARTH T | SECRETARY/DIRECTOR | 2849100 |
Regulatory assets under management
| Total Number of Accounts | 20,233 |
| AUM (Assets Under Management) | $ 5,790,352,615 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
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.
