Larry King
Professional summary
Larry King JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Larry is a previously registered financial professional and started their career in finance in 1996. Prior to being barred, Larry had worked at 3 firms, which includes COMERICA SECURITIES, INDEPENDENCE ONE BROKERAGE SERVICES INC., AMERIPRISE ADVISOR SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 7, 2000 - May 11, 2004
COMERICA SECURITIES
August 18, 1999 - July 20, 2000
INDEPENDENCE ONE BROKERAGE SERVICES, INC.
February 20, 1996 - August 19, 1999
AMERIPRISE ADVISOR SERVICES, INC.
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
Current Firm
COMERICA SECURITIES
CRD#: 17079 / SEC#: 801-64897, 8-35001
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COMERICA INVESTMENT SERVICES, INC. | SHAREHOLDER | |
| AMOS, NICHOLAS CHARLES | DIRECTOR | 2013807 |
| CARR, JAMES | DIRECTOR | 4353199 |
| MAIER, JOHN BONIFACE | DIRECTOR | 1812378 |
| MURDOCK, WILLIAM B | CEO/PRESIDENT/CHAIRMAN | 5777100 |
| SCHELL, RICHARD EDWARD | DIRECTOR/ SENIOR VICE PRESIDENT/ CCO | 1543415 |
| THAIRANI, POOJA | DIRECTOR/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATIONS OFFICER | 7869698 |
Regulatory assets under management
| Total Number of Accounts | 4,527 |
| AUM (Assets Under Management) | $ 2,385,128,214 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/11/2023 | ||
| 12/05/2022 |
Red Flags
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