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MK

Matthew J. King

REGIONAL INVESTMENT SERVICES
ORLANDO, FL 32835
Some features on this profile are disabled
CRD#: 2420670
MK

Professional summary

Matthew John King, who also goes by Matt King, Matthew King, is a registered financial professional currently at REGIONAL INVESTMENT SERVICES, INC. located in Orlando, Florida.

Matthew is registered as a RR (Registered Representative) and started their career in finance in 1993. Matthew has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Matt King | Matthew King

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Matthew John King's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

April 20, 2023 - Present

REGIONAL INVESTMENT SERVICES, INC.

Office #1: 2101 Park Center Drive Suite 290, Orlando, FL 32835
BD
CRD#: 46929
ORLANDO, FL
Past

June 16, 2020 - January 28, 2021

SILVER OAK SECURITIES, INCORPORATED

BD
CRD#: 46947
JACKSON, TN
Past

January 17, 2018 - April 10, 2018

PROVASI CAPITAL PARTNERS LP

BD
CRD#: 119539
DALLAS, TX
Past

September 1, 2011 - June 9, 2016

FS INVESTMENT SOLUTIONS, LLC

BD
CRD#: 145244
PHILADELPHIA, PA
Past

December 9, 2003 - August 22, 2011

DWS INVESTMENT MANAGEMENT AMERICAS, INC.

RIA
CRD#: 104518
CHICAGO, IL
Past

December 9, 2003 - August 22, 2011

DWS DISTRIBUTORS, INC.

BD
CRD#: 37306
CHICAGO, IL
Past

June 7, 2002 - December 4, 2003

AIM PRIVATE ASSET MANAGEMENT

RIA
CRD#: 109264
HOUSTON, TX
Past

February 9, 1999 - December 4, 2003

INVESCO DISTRIBUTORS, INC.

BD
CRD#: 7369
HOUSTON, TX
Past

February 27, 1998 - February 18, 1999

FUND MANAGEMENT COMPANY

BD
CRD#: 25585
HOUSTON, TX
Past

May 9, 1995 - December 18, 1997

GLOBAL ATLANTIC DISTRIBUTORS, LLC

BD
CRD#: 8326
HARTFORD, CT
Past

November 5, 1993 - January 10, 1994

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

BD
CRD#: 4039
NEW YORK, NY
Past

November 5, 1993 - January 10, 1994

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Florida
(4/21/2023)

Exams

State Security Law Exam
IAR
Series 65
Date: 1/21/2002
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/18/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 4/10/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/7/2005
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 11/4/1993
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

RI
REGIONAL INVESTMENT SERVICES, INC.
REGIONAL INVESTMENT SERVICES, INC.

CRD#: 46929 / SEC#: , 8-51588

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
2101 Park Center Drive Suite 290, Orlando, FL 32835
Mailing Address
2101 Park Center Drive Suite 290, Orlando, FL 32835
Phone number
(407) 630-8725
Established
Ohio since 01/19/1999
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
LONGEVITY MARKET ADVISORS, LLCOWNER
MCCAULEY, WILLIAM HUGH JRCFO5267440
MCCAULEY, WILLIAM HUGH JRPRESIDENT5267440
MILNE, RALPH AAMLCO6034910
RAND, PAIGE WOODSUMCHIEF COMPLIANCE OFFICER4520907

Disclosures

Arbitration1

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.

Company Information

REGIONAL INVESTMENT SERVICES, INC.

CRD#: 46929Orlando, FL 32835

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