William 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.
William John King was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1974. William had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 1, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 27, 1992 - January 3, 2017
M. RAMSEY KING SECURITIES, INC.
April 18, 1989 - February 20, 1990
PRESCOTT, BALL & TURBEN, INC.
August 5, 1987 - September 28, 1988
NIKKO ALTERNATIVE ASSET MANAGEMENT, INC.
February 19, 1986 - June 12, 1987
E. F. HUTTON & COMPANY INC
October 27, 1984 - March 3, 1986
NOMURA SECURITIES INTERNATIONAL, INC.
July 29, 1983 - March 12, 1988
MORGAN STANLEY DW INC.
January 28, 1983 - June 24, 1983
GRUNTAL & CO., L.L.C.
May 24, 1982 - January 28, 1983
JEFFERIES LLC
October 6, 1977 - February 15, 1979
COOK INVESTMENT CO.
October 26, 1976 - October 9, 1977
BACON, WHIPPLE & CO.
August 14, 1975 - November 19, 1976
JESUP & LAMONT SECURITIES CO., INC.
September 24, 1974 - November 20, 1975
AMERICAN EXPRESS FINANCIAL CORPORATION
September 24, 1974 - November 20, 1975
AMERIPRISE FINANCIAL SERVICES, LLC
September 24, 1974 - November 20, 1975
IDS LIFE INSURANCE COMPANY
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 1
Date: 9/13/1974
Registered Representative ExaminationCurrent Firm
M. RAMSEY KING SECURITIES, INC.
CRD#: 29318 / SEC#: , 8-44171
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
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.
