Laurie M. Mcmullen

C. L. KING & ASSOCIATES

ALBANY, NY 12207

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CRD#: 2936408

Professional summary

Laurie Marie Mcmullen is a registered financial professional currently at C. L. KING & ASSOCIATES, INC. located in Albany, New York.

Laurie is registered as a RR (Registered Representative) and started their career in finance in 1998. Laurie has worked at 5 firms and has passed the Series 63, Series 52TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Laurie Marie Mcmullen's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

May 15, 2015 - Present

C. L. KING & ASSOCIATES, INC.

Office #1: Nine Elk Street, Albany, NY 12207

CRD#: 6183

ALBANY, NY

Past

April 2, 2012 - May 5, 2015

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

ALBANY, NY

Past

August 18, 2008 - April 2, 2012

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

ALBANY, NY

Past

December 4, 2006 - August 29, 2008

UBS FINANCIAL SERVICES INC.

CRD#: 8174

ALBANY, NY

Past

May 6, 1998 - June 8, 2006

GLEACHER & COMPANY SECURITIES, INC.

CRD#: 298

ALBANY, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

New York
(5/15/2015)

Texas
(11/16/2018)

Virginia
(11/12/2015)

Exams

State Security Law Exam

Series 63

Date: 6/26/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/20/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/26/2005

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

C. L. KING & ASSOCIATES, INC.

CRD#: 6183 / SEC#: , 8-17025

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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Contact information

Main Address

Nine Elk Street, Albany, NY 12207

Mailing Address

Nine Elk Street, Albany, NY 12207

Phone number

(518) 431-3555

Established

New York since 03/03/1972

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (36 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
WEIR, CANDACE KING	PRESIDENT/DIRECTOR, CEO	269796
WEIR, AMELIA FARLEY	SHAREHOLDER	1497338
WEIR, KATHERINE BROUSSARD	SHAREHOLDER	1497339
GIMON, RICHARD JAMES	CHIEF COMPLIANCE OFFICER, DIRECTOR	3217139
MCMILLEN, PETER JOHN	CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER	2061930
ZORIC, STEVEN	COO	4074487

Disclosures

Regulatory Event	7
Arbitration	2
Bond	1

Red Flags

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Firm Stability Insights

Laurie M. Mcmullen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Laurie Marie Mcmullen's CRS (Customer Relationship Summary).

Certified licenses

Experience

RAYMOND JAMES & ASSOCIATES, INC.

MORGAN KEEGAN & COMPANY, LLC

UBS FINANCIAL SERVICES INC.

GLEACHER & COMPANY SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/26/1998

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 10/20/1997

Series 24

Date: 9/26/2005

FINRA

Nasdaq Stock Market

Current Firm

C. L. KING & ASSOCIATES, INC.

Contact information

FINRA licenses (36 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

C. L. KING & ASSOCIATES, INC.

TRUST BUT VERIFY

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