Richard J. Gimon
Professional summary
Richard James Gimon, who also goes by Richard J Gimon, is a registered financial professional 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, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Richard James Gimon's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 31, 2014 - Present
C. L. KING & ASSOCIATES, INC.
Office #1: Nine Elk Street, Albany, NY 12207August 15, 2006 - October 21, 2014
SG AMERICAS SECURITIES, LLC
January 23, 2006 - August 14, 2006
STONEHAVEN, LLC
April 28, 2003 - August 5, 2005
CROWN FINANCIAL GROUP, INC.
December 5, 2000 - February 25, 2003
KNIGHT CAPITAL AMERICAS, L.P.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/23/2021)
(10/31/2014)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 1/11/2001
Limited Representative-Equity Trader ExamFINRA
Nasdaq Stock Market
Current Firm
C. L. KING & ASSOCIATES, INC.
CRD#: 6183 / SEC#: , 8-17025
Contact information
FINRA licenses (36 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 | 7 |
| Arbitration | 2 |
| Bond | 1 |
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.
