Henry C. 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.
Henry Cobb King, who also goes by Hank King, was a registered financial professional .
Henry is a previously registered financial professional and started their career in finance in 2000. Henry had worked at 4 firms and has passed the Series 66, Series 55, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 26, 2006 - June 18, 2007
U.S. FINANCIAL INVESTMENTS, INC.
January 16, 2004 - June 23, 2004
GREAT POINT CAPITAL LLC
September 27, 2002 - October 28, 2002
NEWEDGE USA, LLC
March 9, 2000 - November 2, 2001
MORGAN STANLEY DW 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
Series 55
Date: 1/30/2004
Limited Representative-Equity Trader ExamCurrent Firm
U.S. FINANCIAL INVESTMENTS, INC.
CRD#: 120804 / SEC#: , 8-65347
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
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.
