Christopher 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.
Christopher King was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1998. Christopher had worked at 8 firms and has passed the Series 63, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 12, 2007 - October 18, 2012
FINANCIAL ADVISERS OF AMERICA, LLC
October 16, 2006 - August 27, 2007
FAGENSON & CO., INC.
March 24, 2006 - October 17, 2006
WHITAKER SECURITIES LLC
February 18, 2005 - May 5, 2006
GRANITE ASSOCIATES, INC
September 30, 2003 - February 24, 2005
WHITAKER SECURITIES LLC
December 20, 2002 - September 17, 2003
WESTROCK ADVISORS, INC.
December 18, 2000 - September 6, 2002
WEATHERLY SECURITIES CORPORATION
December 15, 1998 - January 19, 1999
TRAUTMAN WASSERMAN & COMPANY, INC.
May 22, 1998 - December 2, 1998
J.P. TURNER & COMPANY, L.L.C.
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 55
Date: 7/3/2001
Limited Representative-Equity Trader ExamCurrent Firm
FINANCIAL ADVISERS OF AMERICA, LLC
CRD#: 142170 / SEC#: 801-69221, 8-67436
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JOHNSTON, KENNETH MERLE JR | MANAGING DIRECTOR, PRINCIPAL & CCO | 2437725 |
| SABINS, SCOTT ALAN | MEMBER | 834085 |
| BLAIR, ANTHONY FRANCIS | MEMBER | 1257306 |
| CUNNINGHAM, CRAIG, L | MEMBER | |
| KARG, CAMERON LEE | MEMBER | 264368 |
| LASARZIG, WILLIAM R JR. | MEMBER | 5708816 |
| SABINS, STEVEN WILLIAM | MEMBER | |
| WILSON, RODNEY E S | MEMBER | |
| ADAMS, ROSEMARIE CHIYOKO | MEMBER | 4638793 |
| AHERN, PRISCILLA A | MEMBER | 5720406 |
| AHERN, THOMAS S | MEMBER | 5720404 |
| DENNEY, NICOLETTE IRISA | FINOP | 1090644 |
| HUGHES, MICHAEL LEWIS | MEMBER | 1498127 |
| JOHNSTON, JODI MARIE | MEMBER | 2836464 |
| LUKEHART, DILLON JAMES | MEMBER | 6109420 |
| PELLAND, MICHAEL JOHN | MEMBER | 2845866 |
| PESAVENTO, ROBERT J | MEMBER | 5720397 |
| PESAVENTO, SUSAN J | MEMBER | 5720402 |
| PROUD, EILEEN MARIEL | MEMBER | 1019703 |
| WARNER, DONALD ALAN | MEMBER | 459120 |
Disclosures
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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