William J. 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.
William J King, who also goes by Bill King, William John King, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 2001. William had worked at 7 firms and has passed the Series 63, Series 66, Series 79TO, 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
November 10, 2022 - March 20, 2024
FINALIS SECURITIES LLC
April 27, 2022 - September 15, 2022
ASHLAND SECURITIES, LLC
June 17, 2009 - January 2, 2013
ARVEST WEALTH MANAGEMENT
April 1, 2009 - January 2, 2013
ARVEST WEALTH MANAGEMENT
December 14, 2004 - July 19, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 14, 2002 - January 14, 2004
CHASE INVESTMENT SERVICES CORP.
May 2, 2001 - March 20, 2002
METROPOLITAN LIFE INSURANCE COMPANY
May 2, 2001 - March 20, 2002
MSI FINANCIAL SERVICES, 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 79TO
Date: 4/27/2022
Investment Banking Registered Representative ExaminationCurrent Firm
FINALIS SECURITIES LLC
CRD#: 305908 / SEC#: , 8-70425
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FINALIS, INC. | HOLDING COMPANY | |
| AZARY, DENNIS MICHAEL | CEO/CCO/FINOP | 2384263 |
Red Flags
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