TK
Thomas P. King
FIDELITY INSTITUTIONAL WEALTH ADVISER LLC
SMITHFIELD, RI 02917
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CRD#: 5098460
TK
Professional summary
Thomas P King, who also goes by Thomas Patrick King, Thomas King, is a registered financial advisor currently at FIDELITY INSTITUTIONAL WEALTH ADVISER LLC located in Smithfield, Rhode Island and NATIONAL FINANCIAL SERVICES LLC located in Smithfield, Rhode Island.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Thomas has worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Thomas Patrick King | Thomas 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.
OBA-115016|OrgNmn:pomfret volunteer fire dept|Org Addr:pomfret ,Connecticu,US|OBA Nature:town volunteer fire dept|Invst Rel:N|Title:volunteer firefighter|Duties:help around the fire dept, and assist with fire/medical emergencies in town|StrtDt:|TotHrs/mon:6|TrdHrs/mon:0|OBA-103783|OrgNmn:walmart|Org Addr:brooklyn,Connecticu,US|OBA Nature:retail|Invst Rel:N|Title:Employee|Duties:greeting customers/stocking shelves/point of sales|StrtDt:|TotHrs/mon:48|TrdHrs/mon:0|
CRS (Client Relationship Summary) - RIA
Click below to view Thomas P 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
August 15, 2025 - Present
FIDELITY INSTITUTIONAL WEALTH ADVISER LLC
Office #1: 500 Salem Street, Smithfield, RI 02917RIA
CRD#: 301896
SMITHFIELD, RI
Current
April 17, 2007 - Present
NATIONAL FINANCIAL SERVICES LLC
Office #1: 500 Salem Street, Smithfield, RI 02917BD
CRD#: 13041
Smithfield, RI
Current
July 28, 2025 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 500 Salem Street, Smithfield, RI 02917BD
CRD#: 7784
Smithfield, RI
Past
March 30, 2006 - December 7, 2006
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SMITHFIELD, RI
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".
FI
FIDELITY INSTITUTIONAL WEALTH ADVISER LLC
FIDELITY INSTITUTIONAL AM | FIDELITY INSTITUTIONAL WEALTH ADVISER LLC
CRD#: 301896 / SEC#: 801-116860
RIA
Registered Investment Advisory firm - (6/28/2019 Approved)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
Connecticut(8/4/2025)
IAR
Connecticut(8/15/2025)
RR
Rhode Island(8/4/2025)
IAR
Rhode Island(8/15/2025)
RR
Texas(8/4/2025)
IAR
Texas(8/15/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
FI
FIDELITY INSTITUTIONAL WEALTH ADVISER LLC
FIDELITY INSTITUTIONAL AM | FIDELITY INSTITUTIONAL WEALTH ADVISER LLC
CRD#: 301896 / SEC#: 801-116860
RIA
Registered Investment Advisory firm - (6/28/2019 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
245 Summer Street, Boston, MA 02210
Mailing Address
Phone number
(617) 563-7000
Established
Firm type
Fiscal year end
# of Employees
194
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 829 |
| AUM (Assets Under Management) | $ 6,468,261,663 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2025 | ||
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/26/2023 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
FIDELITY INSTITUTIONAL WEALTH ADVISER LLC
CRD#: 301896Smithfield, RI 02917TRUST BUT VERIFY
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