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RK

Richard L. King

ALLSTATE FINANCIAL SERVICES
Crestwood, KY 40014-8679
Some features on this profile are disabled
CRD#: 3150435
RK

Professional summary

Richard Lee King, who also goes by Lee King, is a registered financial professional currently at ALLSTATE FINANCIAL SERVICES, LLC located in Crestwood, Kentucky.

Richard is registered as a RR (Registered Representative) and started their career in finance in 1999. Richard has worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Lee King

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 Richard Lee King'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

January 4, 2021 - Present

ALLSTATE FINANCIAL SERVICES, LLC

Office #1: 6003 Pleasant Colony Ct Ste 5, Crestwood, KY 40014-8679
BD
CRD#: 18272
Crestwood, KY
Past

September 16, 2010 - July 30, 2019

KESTRA INVESTMENT SERVICES, LLC

BD
CRD#: 42046
NEW ALBANY, IN
Past

November 8, 2007 - October 22, 2008

LPL FINANCIAL LLC

BD
CRD#: 6413
LEXINGTON, KY
Past

October 28, 2006 - October 5, 2007

FIFTH THIRD SECURITIES, INC.

BD
CRD#: 628
LOUISVILLE, KY
Past

November 15, 2005 - October 12, 2006

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
LOUISVILLE, KY
Past

August 26, 2005 - November 11, 2005

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
CHICAGO, IL
Past

September 17, 2003 - August 25, 2005

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
LOUISVILLE, KY
Past

January 22, 1999 - August 25, 2005

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

January 22, 1999 - August 25, 2005

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

State Registrations and Notice Filings

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

RR
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

RR
California
(6/16/2021)
RR
Florida
(2/21/2025)
RR
Indiana
(1/12/2021)
RR
Kentucky
(1/7/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 12/8/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/21/1999
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AF
ALLSTATE FINANCIAL SERVICES, LLC
ALLSTATE FINANCIAL SERVICES, LLC | LSA SECURITIES, INC. | LAUGHLIN GROUP ADVISORS, INC. | ALLSTATE FINANCIAL SERVICES, LLC OF DELAWARE | ALLSTATE FINANCIAL SERVICES, LLC D/B/A LSA SECURITIES

CRD#: 18272 / SEC#: , 8-36365

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
151 N 8th Street, Suite 450, Lincoln, NE 68508-1380
Mailing Address
Po Box 83271, Lincoln, NE 68501-3271
Phone number
(877) 232-2142
Established
Delaware since 11/01/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ALLSTATE INSURANCE COMPANYOWNER
BOUDREAU, JOHN DOUGLASCHIEF COMPLIANCE OFFICER, VICE PRESIDENT AND EXECUTIVE REPRESENTATIVE6357880
DELANEY, SCOTT SULLIVANPRESIDENT AND CHIEF EXECUTIVE OFFICER2978681
LANSPA, PAUL DONALDCHIEF OPERATING OFFICER6449159
MUELLER, DAVID JOHNGENERAL COUNSEL AND SECRETARY7807045
NELSON, MARY KRISCHAIRMAN OF THE BOARD2464654
SWEENEY, MICHAEL DANIELAML OFFICER2026113
WHITCOMB, MICHAEL JAMESFINOP7495756

Disclosures

Regulatory Event4
Arbitration1

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.

Company Information

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272Crestwood, KY 40014-8679

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