Peter A. Schultz
Professional summary
Peter Alan Schultz JR, who also goes by Peter Alan Schultz, is a registered financial professional currently at C. L. KING & ASSOCIATES, INC. located in Albany, New York.
Peter is registered as a RR (Registered Representative) and started their career in finance in 1996. Peter has worked at 6 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Peter Alan Schultz JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 1, 2025 - Present
C. L. KING & ASSOCIATES, INC.
Office #1: Nine Elk Street, Albany, NY 12207March 27, 2001 - June 30, 2025
C. L. KING & ASSOCIATES, INC.
April 24, 1999 - October 31, 2000
GEORGE K. BAUM & COMPANY
March 3, 1999 - March 31, 1999
FIRST UNION CAPITAL MARKETS CORP.
March 2, 1998 - February 19, 1999
RBC CAPITAL MARKETS, LLC
April 30, 1996 - March 2, 1998
DAIN RAUSCHER INCORPORATED
January 16, 1996 - April 12, 1996
WELLS FARGO CLEARING SERVICES, 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
(7/1/2025)
(7/1/2025)
(7/1/2025)
(7/1/2025)
(7/1/2025)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 10/11/2002
Limited Representative-Equity Trader ExamFINRA
Nasdaq Stock Market
Current Firm
C. L. KING & ASSOCIATES, INC.
CRD#: 6183 / SEC#: , 8-17025
Contact information
FINRA licenses (36 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WEIR, CANDACE KING | PRESIDENT/DIRECTOR, CEO | 269796 |
| WEIR, AMELIA FARLEY | SHAREHOLDER | 1497338 |
| WEIR, KATHERINE BROUSSARD | SHAREHOLDER | 1497339 |
| GIMON, RICHARD JAMES | CHIEF COMPLIANCE OFFICER, DIRECTOR | 3217139 |
| MCMILLEN, PETER JOHN | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 2061930 |
| ZORIC, STEVEN | COO | 4074487 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 2 |
| Bond | 1 |
Red Flags
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