Charles G. 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.
Charles George King was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1997. Charles had worked at 3 firms and has passed the Series 65 and Series 2 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 26, 2009 - December 31, 2019
DLK INVESTMENT MANAGEMENT
March 28, 2003 - June 3, 2009
RICE HALL JAMES & ASSOCIATES LLC
July 8, 1997 - March 27, 2003
RICE HALL JAMES & ASSOCIATES
Primary Firm SEC Registration
DLK INVESTMENT MANAGEMENT
CRD#: 149096 / SEC#: 801-69825
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 2
Date: 4/16/1993
Non-Member General Securities ExaminationCurrent Firm
DLK INVESTMENT MANAGEMENT
CRD#: 149096 / SEC#: 801-69825
Contact information
SEC notice filing (9 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,122 |
| AUM (Assets Under Management) | $ 435,005,553 |
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.
