Matthew J. 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.
Matthew John King, who also goes by Matt King, Matthew King, was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 1993. Matthew had worked at 12 firms and has passed the Series 65, Series 63, SIE, 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
April 20, 2023 - June 4, 2026
REGIONAL INVESTMENT SERVICES, INC.
June 16, 2020 - January 28, 2021
SILVER OAK SECURITIES, INCORPORATED
January 17, 2018 - April 10, 2018
PROVASI CAPITAL PARTNERS LP
September 1, 2011 - June 9, 2016
FS INVESTMENT SOLUTIONS, LLC
December 9, 2003 - August 22, 2011
DWS INVESTMENT MANAGEMENT AMERICAS, INC.
December 9, 2003 - August 22, 2011
DWS DISTRIBUTORS, INC.
June 7, 2002 - December 4, 2003
AIM PRIVATE ASSET MANAGEMENT
February 9, 1999 - December 4, 2003
INVESCO DISTRIBUTORS, INC.
February 27, 1998 - February 18, 1999
FUND MANAGEMENT COMPANY
May 9, 1995 - December 18, 1997
GLOBAL ATLANTIC DISTRIBUTORS, LLC
November 5, 1993 - January 10, 1994
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
November 5, 1993 - January 10, 1994
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
Exams
Current Firm
REGIONAL INVESTMENT SERVICES, INC.
CRD#: 46929 / SEC#: , 8-51588
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Arbitration | 1 |
Red Flags
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