Quentin 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.
Quentin C King, who also goes by Quentin Carlos King, Quentin King, Quentin C King, was a registered financial professional .
Quentin is a previously registered financial professional and started their career in finance in 2003. Quentin had worked at 9 firms and has passed the Series 63, Series 66, SIE 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
May 28, 2021 - January 4, 2024
CARTY, HARDING & HEARN, INC.
June 26, 2017 - April 30, 2018
VALIC FINANCIAL ADVISORS, INC.
July 6, 2015 - November 15, 2016
UNION CAPITAL COMPANY
February 24, 2012 - June 18, 2015
CARTY, HARDING & HEARN, INC.
April 12, 2011 - November 2, 2011
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
August 24, 2009 - January 4, 2010
IFS SECURITIES
February 11, 2009 - April 30, 2009
MML INVESTORS SERVICES, LLC
October 17, 2008 - December 19, 2008
IFS SECURITIES
February 20, 2008 - May 30, 2008
UNION CAPITAL COMPANY
January 28, 2005 - August 9, 2005
J. B. HANAUER & CO.
August 30, 2004 - August 9, 2005
J. B. HANAUER & CO.
March 11, 2004 - August 18, 2004
LADENBURG THALMANN & CO. INC.
October 31, 2003 - March 2, 2004
FMSBONDS, 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
Current Firm
CARTY, HARDING & HEARN, INC.
CRD#: 7001 / SEC#: , 8-19082
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 19 |
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.
