Brian 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.
Brian Mark King was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1999. Brian had worked at 8 firms and has passed the Series 66, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 7, 2007 - October 30, 2015
CBOE TRADING, INC.
October 21, 2005 - February 1, 2007
SII INVESTMENTS, INC.
October 20, 2005 - February 1, 2007
SII INVESTMENTS, INC.
April 8, 2004 - November 11, 2005
WELLSTONE SECURITIES, LLC
December 6, 2002 - November 11, 2005
WELLSTONE SECURITIES, LLC
October 24, 2002 - December 31, 2002
CONSUMER CONCEPTS INVESTMENTS, INC.
October 29, 2001 - September 30, 2002
OSAIC FA, INC.
October 29, 2001 - September 30, 2002
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
October 29, 2001 - September 30, 2002
OSAIC FA, INC.
November 8, 2000 - October 23, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 21, 1999 - August 1, 2000
SIGNATOR INVESTORS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CBOE TRADING, INC.
CRD#: 136734 / SEC#: , 8-67043
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CBOE SERVICES COMPANY | OWNER | |
| CHMIELEWSKI, COLE MICHAEL | PRESIDENT | 5740206 |
| GOODMAN, SYDNEY LINDEN | FINOP | 7092589 |
| ISAACSON, CHRISTOPHER ANDREW | DIRECTOR | 5015729 |
| SEXTON, JOHN PATRICK | SECRETARY | 7152089 |
| UPP, WILLIAM BRYAN | CHIEF COMPLIANCE OFFICER | 2976682 |
| WILKINSON, ALLEN LLOYD | VICE PRESIDENT | 7432624 |
| YEAZEL, TROY CHARLES | DIRECTOR | 5492474 |
Disclosures
| Regulatory Event | 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.
