CK
Charles T. King
STIFEL, NICOLAUS & COMPANY
San Francisco, CA 94104
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CRD#: 4257547
CK
Professional summary
Charles Timothy King, who also goes by Charles T King, is a registered financial professional currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in San Francisco, California.
Charles is registered as a RR (Registered Representative) and started their career in finance in 2001. Charles has worked at 15 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Charles T King
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.
CRS (Client Relationship Summary) - BD
Click below to view Charles Timothy King's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 3, 2020 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: One Montgomery Street Suites 3300 3500, 3600, & 3700, San Francisco, CA, 94104RIA
BD
CRD#: 793
San Francisco, CA
Past
October 31, 2018 - June 18, 2019
PAULSON INVESTMENT COMPANY LLC
BD
CRD#: 5670
San Francisco, CA
Past
February 3, 2017 - April 9, 2018
NORTH CAPITAL PRIVATE SECURITIES CORPORATION
BD
CRD#: 154559
San Francisco, CA
Past
October 14, 2013 - March 18, 2016
FANTEX BROKERAGE SERVICES, LLC
BD
CRD#: 164783
SAN FRANCISCO, CA
Past
June 7, 2012 - February 1, 2013
ATEL SECURITIES CORPORATION
BD
CRD#: 17229
SAN FRANCISCO, CA
Past
January 25, 2011 - June 5, 2012
OPPENHEIMER & CO. INC.
RIA
CRD#: 249
SAN FRANCISCO, CA
Past
January 25, 2011 - June 5, 2012
OPPENHEIMER & CO. INC.
BD
CRD#: 249
SAN FRANCISCO, CA
Past
December 14, 2010 - January 26, 2011
ASSETMARK, INC.
RIA
CRD#: 109018
CONCORD, CA
Past
December 13, 2010 - January 26, 2011
CAPITAL BROKERAGE CORPORATION
BD
CRD#: 10465
GLEN ALLEN, VA
Past
March 6, 2007 - February 2, 2009
BLACKROCK FUND ADVISORS
RIA
CRD#: 105247
SAN FRANCISCO, CA
Past
March 6, 2007 - February 2, 2009
BLACKROCK EXECUTION SERVICES
BD
CRD#: 39438
SAN FRANCISCO, CA
Past
February 3, 2005 - June 19, 2006
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
SAN FRANCISCO, CA
Past
June 19, 2003 - November 1, 2004
ATLAS SECURITIES, LLC
BD
CRD#: 20991
SAN LEANDRO, CA
Past
April 5, 2002 - July 3, 2002
AMERIPRISE ADVISOR SERVICES, INC.
BD
CRD#: 5979
DETROIT, MI
Past
November 1, 2001 - March 5, 2002
CAL FED INVESTMENTS
BD
CRD#: 19631
SACRAMENTO, CA
Past
January 1, 2001 - August 20, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
STIFEL, NICOLAUS & COMPANY, INCORPORATED
EATON PARTNERS | WASHINGTON CROSSING ADVISORS | TWP PRIVATE WEALTH MANAGEMENT | STIFEL, NICOLAUS & COMPANY, INCORPORATED | STIFEL NICOLAUS & CO INC INVESTMENT SERVICES | STIFEL CAPITAL ADVISORS
CRD#: 793 / SEC#: 801-10746, 8-1447
RIA
Registered Investment Advisory firm - SEC (5/7/1975 Approved)Georgia
Registered Investment Advisory firm - SEC (11/30/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(6/15/2020)
RR
Alaska(6/15/2020)
RR
Arizona(6/17/2020)
RR
Arkansas(6/17/2020)
RR
California(6/4/2020)
RR
Colorado(6/16/2020)
RR
Connecticut(6/16/2020)
RR
Delaware(6/17/2020)
RR
District of Columbia(6/16/2020)
RR
Florida(6/16/2020)
RR
Georgia(6/16/2020)
RR
Hawaii(6/16/2020)
RR
Idaho(6/15/2020)
RR
Illinois(6/25/2020)
RR
Indiana(6/17/2020)
RR
Iowa(6/19/2020)
RR
Kansas(6/22/2020)
RR
Kentucky(7/27/2020)
RR
Louisiana(6/16/2020)
RR
Maine(6/16/2020)
RR
Maryland(6/16/2020)
RR
Massachusetts(7/6/2020)
RR
Michigan(12/7/2020)
RR
Minnesota(6/18/2020)
RR
Mississippi(6/17/2020)
RR
Montana(7/23/2020)
RR
Nebraska(6/15/2020)
RR
Nevada(6/26/2020)
RR
New Hampshire(9/21/2020)
RR
New Jersey(6/16/2020)
RR
New Mexico(6/16/2020)
RR
New York(6/15/2020)
RR
North Carolina(6/16/2020)
RR
North Dakota(6/22/2020)
RR
Ohio(6/15/2020)
RR
Oklahoma(6/16/2020)
RR
Pennsylvania(6/16/2020)
RR
Puerto Rico(6/17/2020)
RR
Rhode Island(6/16/2020)
RR
South Carolina(6/16/2020)
RR
South Dakota(6/18/2020)
RR
Tennessee(6/16/2020)
RR
Texas(6/15/2020)
RR
Utah(6/16/2020)
RR
Vermont(6/15/2020)
RR
Virgin Islands(6/18/2020)
RR
Virginia(6/15/2020)
RR
Washington(6/15/2020)
RR
West Virginia(6/15/2020)
RR
Wisconsin(7/6/2020)
RR
Wyoming(6/16/2020)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
STIFEL, NICOLAUS & COMPANY, INCORPORATED
EATON PARTNERS | WASHINGTON CROSSING ADVISORS | TWP PRIVATE WEALTH MANAGEMENT | STIFEL, NICOLAUS & COMPANY, INCORPORATED | STIFEL NICOLAUS & CO INC INVESTMENT SERVICES | STIFEL CAPITAL ADVISORS
CRD#: 793 / SEC#: 801-10746, 8-1447
RIA
Registered Investment Advisory firm - SEC (5/7/1975 Approved)Georgia
Registered Investment Advisory firm - SEC (11/30/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
501 North Broadway, St Louis, MO 63102
Mailing Address
501 North Broadway, St. Louis, MO 63102
Phone number
(314) 342-2000
Established
Missouri since 02/20/1900
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
6,464
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STIFEL FINANCIAL CORP. | SHAREHOLDER | |
| AYD, PAUL JOSEPH | CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS | 2963853 |
| BRIGHT, GEOFFREY CLYDE JR | CHIEF COMPLIANCE OFFICER - PRIVATE CLIENT GROUP | 4696103 |
| BROOKS, PATRICK RODGERS | ROSFP - CAPITAL MARKETS | 2223412 |
| DODSON, CHARLES EDWARD | CCO ADVISORY SERVICES | 1744430 |
| FISHER, MARK PHILIP | GENERAL COUNSEL, SECRETARY | 4970942 |
| HYDE, GINA ELIZABETH | CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS | 2812751 |
| KRUSZEWSKI, RONALD JAMES | PRESIDENT, CHIEF EXECUTIVE OFFICE & CHAIRMAN OF THE BOARD | 1434827 |
| MELINGER, ADAM SCOTT | ROSFP - PCG | 2373020 |
| NOLL, DOUGLAS WAYNE | PRINCIPAL OPERATIONS OFFICER | 1614129 |
| RAYMOND, CHARLES BRADFORD GREEN | CO-HEAD GLOBAL INSTITUTIONAL EQUITIES & ADVISORY | 2796106 |
| SCHRICK, FREDERICK RICHARD | PRINCIPAL FINANCIAL OFFICER | 5636488 |
| SLINEY, DAVID DEAN | SENIOR VICE PRESIDENT & DIRECTOR | 2276514 |
| ZEMLYAK, JAMES MARK | EXECUTIVE VICE PRESIDENT & DIRECTOR | 1586132 |
Regulatory assets under management
| Total Number of Accounts | 368,405 |
| AUM (Assets Under Management) | $ 171,209,609,487 |
Disclosures
| Regulatory Event | 168 |
| Civil Event | 2 |
| Arbitration | 60 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/18/2024 | ||
| 12/19/2023 |
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.
