Charles T. 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.
Charles Timothy King, who also goes by Charles T King, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 2001. Charles had worked at 16 firms and has passed the Series 66, SIE and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 30, 2026 - July 1, 2026
BTIG, LLC
June 3, 2020 - April 8, 2026
STIFEL, NICOLAUS & COMPANY, INCORPORATED
October 31, 2018 - June 18, 2019
PAULSON INVESTMENT COMPANY LLC
February 3, 2017 - April 9, 2018
NORTH CAPITAL PRIVATE SECURITIES CORPORATION
October 14, 2013 - March 18, 2016
FANTEX BROKERAGE SERVICES, LLC
June 7, 2012 - February 1, 2013
ATEL SECURITIES CORPORATION
January 25, 2011 - June 5, 2012
OPPENHEIMER & CO. INC.
January 25, 2011 - June 5, 2012
OPPENHEIMER & CO. INC.
December 14, 2010 - January 26, 2011
ASSETMARK, INC.
December 13, 2010 - January 26, 2011
CAPITAL BROKERAGE CORPORATION
March 6, 2007 - February 2, 2009
BLACKROCK FUND ADVISORS
March 6, 2007 - February 2, 2009
BLACKROCK EXECUTION SERVICES
February 3, 2005 - June 19, 2006
WELLS FARGO CLEARING SERVICES, LLC
June 19, 2003 - November 1, 2004
ATLAS SECURITIES, LLC
April 5, 2002 - July 3, 2002
AMERIPRISE ADVISOR SERVICES, INC.
November 1, 2001 - March 5, 2002
CAL FED INVESTMENTS
January 1, 2001 - August 20, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
BTIG, LLC
CRD#: 122225 / SEC#: , 8-65473
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 11 |
| Civil 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.
