Lawrence A. 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.
Lawrence Alfred King, who also goes by Larry King, was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1973. Lawrence had worked at 13 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 3, Series 000, Series 1, Series 10, Series 9 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 21, 2021 - June 30, 2025
LPL FINANCIAL LLC
July 21, 2021 - June 30, 2025
LPL FINANCIAL LLC
June 23, 2020 - July 21, 2021
WADDELL & REED
June 23, 2020 - July 21, 2021
WADDELL & REED
July 1, 2013 - June 24, 2020
MUTUAL ADVISORS, LLC
May 19, 2011 - July 9, 2013
MUTUAL SECURITIES, INC.
May 18, 2011 - June 24, 2020
MUTUAL SECURITIES, INC.
October 5, 2009 - May 19, 2011
AMERIPRISE FINANCIAL SERVICES, LLC
October 5, 2009 - May 19, 2011
AMERIPRISE FINANCIAL SERVICES, LLC
February 10, 2009 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
March 31, 2008 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
February 19, 2003 - April 2, 2008
WELLS FARGO CLEARING SERVICES, LLC
February 19, 2003 - April 2, 2008
WELLS FARGO CLEARING SERVICES, LLC
July 8, 1997 - February 20, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 18, 1996 - February 20, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 20, 1993 - July 23, 1996
PRUDENTIAL EQUITY GROUP, LLC
March 14, 1988 - April 21, 1993
MORGAN STANLEY DW INC.
January 6, 1981 - April 19, 1988
E. F. HUTTON & COMPANY INC
November 22, 1977 - February 5, 1981
LEHMAN BROTHERS INC.
July 1, 1977 - November 22, 1977
SHEARSON HAYDEN STONE INC.
November 20, 1973 - July 30, 1977
E. F. HUTTON & COMPANY INC
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 000
Date: 11/16/1973
General Securities Principal ExaminationSeries 1
Date: 11/15/1973
Registered Representative ExaminationSeries 8
Date: 5/14/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
