Richard James Gimon
Professional Summary
Richard James Gimon, who also goes by Richard J Gimon, is a registered financial advisor currently at C. L. KING & ASSOCIATES, INC. located in Albany, New York. Richard is registered as a RR (Registered Representative) and started their career in finance in 2000. Richard has worked at 5 firms and has passed the Series 63, Series 99TO, Series 79TO, Series 52TO, Series 57TO, SIE, Series 87, Series 3, Series 55, Series 7, Series 14,...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Richard J Gimon
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
25 years in the financial services industry
Current & Past Employments
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Current Firm
C. L. KING & ASSOCIATES, INC.
Contact Information
Main Address
Nine Elk Street, Albany, NY 12207Mailing Address
Nine Elk Street, Albany, NY 12207Phone Number
(518) 431-3555Established
New York since 03/03/1972Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (36 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
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
7Arbitration
2Bond
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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.
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State Registrations and Notice Filings
(11/23/2021)
(10/31/2014)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 87 — Research Analyst Exam - Part II Regulations Module
Passed Nov 2015About the Series 87 examSeries 55 — Limited Representative-Equity Trader Exam
Passed Jan 2001SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Richard James Gimon's CRS (Customer Relationship Summary).
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