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DK

Daniel J. King

CREDIT AGRICOLE SECURITIES (USA)
New York, NY 10019
Some features on this profile are disabled
CRD#: 2557878
DK

Professional summary

Daniel J King, who also goes by Daniel Joseph King, Daniel King, is a registered financial professional currently at CREDIT AGRICOLE SECURITIES (USA) INC. located in New York, New York.

Daniel is registered as a RR (Registered Representative) and started their career in finance in 1995. Daniel has worked at 6 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 24, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Daniel Joseph King | Daniel 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 Daniel J King's 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

November 16, 2023 - Present

CREDIT AGRICOLE SECURITIES (USA) INC.

Office #1: 1301 Avenue Of The Americas 9th Floor, New York, NY 10019
BD
CRD#: 190
New York, NY
Past

February 20, 2018 - September 23, 2022

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

July 5, 2011 - October 17, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

March 20, 2003 - June 23, 2011

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

January 23, 2001 - August 30, 2002

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
NEW YORK, NY
Past

March 17, 2000 - May 1, 2001

JPMSI

BD
CRD#: 15733
NEW YORK, NY
Past

September 1, 1995 - March 24, 2000

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ

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
New York
(11/16/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 6/8/2018
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 6/10/2015
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 8/31/1995
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/17/2019
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 10
Date: 6/10/2010
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 5/27/2010
General Securities Sales Supervisor - Options Module Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
New York Stock Exchange

Current Firm

CREDIT AGRICOLE SECURITIES (USA) INC.
CREDIT AGRICOLE SECURITIES (USA) INC.
CALYON SECURITIES (USA) INC | EURO PARTNERS SECURITIES CORPORATION | CREDIT LYONNAIS SECURITIES (USA), INC. | CREDIT AGRICOLE SECURITIES (USA) INC. | CL GLOBALPARTNERS SECURITIES CORPORATION | CALYON SECURITIS (USA) INC.

CRD#: 190 / SEC#: , 8-13753

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

Main Address
1301 Avenue Of The Americas - 9th Floor, New York, NY 10019
Mailing Address
1301 Avenue Of The Americas - 9th Floor, New York, NY 10019
Phone number
(212) 261-7000
Established
New York since 01/30/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
CREDIT AGRICOLE GLOBAL PARTNERS INC. ("CAGPI")SHAREHOLDER
ARNAL, CELINEDIRECTOR7247072
GEROLD, MARIA TERESACFO5967881
HETIER, FRANCOIS-EDOUARD MARIE MARCDIRECTOR7817148
KURZ, WILLIAM FRANKMEMBER OF THE BOARD OF DIRECTORS AND COO7602164
PUBLIE, STEPHANEINTERIM CEO AND MEMBER OF THE BOARD OF DIRECTORS5978052
YOUN, EDWARD KYUNG-HOCHIEF COMPLIANCE OFFICER6723958
ZAFAR, KASHIFMANAGING DIRECTOR2666642

Disclosures

Regulatory Event18

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

CREDIT AGRICOLE SECURITIES (USA) INC.

CREDIT AGRICOLE SECURITIES (USA) INC.

CRD#: 190New York, NY 10019

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