Kevin M. 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.
Kevin Michael King, who also goes by Kevin M King, Kevin Michael King, was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1998. Kevin had worked at 4 firms and has passed the Series 65, Series 63, Series 31 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
July 15, 2011 - January 10, 2013
CUTWATER ASSET MANAGEMENT
January 26, 2006 - October 7, 2009
SANFORD C. BERNSTEIN & CO., LLC
September 22, 2000 - January 30, 2006
ALLIANCEBERNSTEIN INVESTMENTS, INC.
February 18, 1998 - September 19, 2000
UBS ASSET MANAGEMENT (US) INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CUTWATER ASSET MANAGEMENT
CRD#: 37214 / SEC#: 801-46649, 8-47662
Contact information
Disclosures
| Regulatory Event | 2 |
Red Flags
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