PK
Patrick T. King
STIFEL, NICOLAUS & COMPANY
Columbus, OH 43215
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CRD#: 4534033
PK
Professional summary
Patrick Timothy King is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Columbus, Ohio.
Patrick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Patrick has worked at 3 firms and has passed the Series 63, Series 52TO, SIE, Series 50, Series 7 and Series 53 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
1. SOLID WASTE AUTHORITY OF CENTRAL OHIO; BOARD MEMBER; 4 HOURS PER MONTH; DURING SECURITIES TRADING HOURS. 2. COUNTY HOSPITAL COMMISSION OF FRANKLIN COUNTY, OHIO; 280 E BROAD STREET COLUMBUS OH 43215; APPROVE THE ISSURANCE OF BONDS BY FRANKLIN COUNTY FOR THE NOT FOR PROFIT HOSPITAL SYSTEMS IN FRANKLIN COUNTY; BOARD MEMBER; OVERSIGHT OF COMMISSION; AFFILIATION STARTED 07/29/2015; 3 HOURS PER MONTH; NOT DURING SECURITIES TRADING HOURS; NOT INVESTMENT RELATED. 3. City of Bexley Board of Zoning and Planning; 2242 E Main Street, Bexley, OH 43209; Zoning decisions for property in Bexley, Ohio; Board Member; Make decisions on zoning variances; 10/06/2022; 3 Hours per Month; Not During Securities Trading Hours; Not Investment-Related. 4. Bexley City School District, Ohio; 348 South Cassingham Road Bexley OH 43209; K-12 school district; Member of Board of Education; Provide direction to administration; 02/14/2024; 8.00hr/month; During Securities Trading Hours; Not Investment-Related.
CRS (Client Relationship Summary) - RIA
Click below to view Patrick Timothy King's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Patrick 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
May 18, 2009 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 250 South High Street 3rd Floor Suite 350, Columbus, OH, 43215RIA
BD
CRD#: 793
Columbus, OH
Current
May 15, 2009 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 250 South High Street 3rd Floor Suite 350, Columbus, OH, 43215RIA
BD
CRD#: 793
Columbus, OH
Past
November 26, 2007 - April 2, 2009
WELLS FARGO SECURITIES, LLC
BD
CRD#: 126292
COLUMBUS, OH
Past
July 14, 2005 - December 14, 2007
A. G. EDWARDS & SONS, INC.
RIA
CRD#: 4
COLUMBUS, OH
Past
May 22, 2002 - November 26, 2007
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
COLUMBUS, OH
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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Ohio(5/18/2009)
IAR
Ohio(5/18/2009)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
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.
