Charles 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.
Charles King, who also goes by Charles W King, Charles Wayne King Jr., Charles Wayne King Jr, Charles Wayne King, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 2012. Charles had worked at 13 firms and has passed the Series 65, Series 63, Series 22TO, SIE and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 17, 2025 - August 10, 2026
MML INVESTORS SERVICES, LLC
December 15, 2025 - August 10, 2026
MML INVESTORS SERVICES, LLC
April 30, 2024 - December 16, 2025
CREATIVE RESOURCES INVESTMENT ADVISORS LLC
May 5, 2022 - May 10, 2024
LPL FINANCIAL LLC
May 5, 2022 - May 10, 2024
LPL FINANCIAL LLC
August 20, 2020 - March 2, 2022
WHITE ASPEN CAPITAL LLC
May 29, 2020 - August 14, 2020
ASCENDANT ALTERNATIVE STRATEGIES, LLC
September 24, 2018 - May 29, 2020
PARK AVENUE SECURITIES LLC
August 30, 2018 - May 29, 2020
PARK AVENUE SECURITIES LLC
January 15, 2018 - May 9, 2018
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
January 8, 2018 - May 9, 2018
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
June 5, 2017 - November 29, 2017
EDWARD JONES
June 2, 2017 - November 29, 2017
EDWARD JONES
January 21, 2016 - June 2, 2017
THRIVENT INVESTMENT MANAGEMENT INC.
January 19, 2016 - June 2, 2017
THRIVENT INVESTMENT MANAGEMENT INC.
September 16, 2013 - March 21, 2014
MORGAN STANLEY
June 24, 2013 - March 21, 2014
MORGAN STANLEY
March 6, 2013 - June 26, 2013
DBA THE DELTA COMPANY
November 13, 2012 - March 4, 2013
TEXAS SECURITIES, INC.
May 15, 2012 - August 27, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
MML INVESTORS SERVICES, LLC
CRD#: 10409 / SEC#: 801-44264, 8-27250
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 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationCurrent Firm
MML INVESTORS SERVICES, LLC
CRD#: 10409 / SEC#: 801-44264, 8-27250
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MASSMUTUAL HOLDING LLC | MEMBER | |
| BAUER, THOMAS K | CHIEF TECHNOLOGY OFFICER | 4759472 |
| BOWMAN, VAUGHN CHARLES | CHIEF EXECUTIVE OFFICER, PRESIDENT AND CHAIRMAN OF THE BOARD | 4725044 |
| CRADDOCK, GEOFFREY | DIRECTOR | 1444771 |
| DUCH III, EDWARD KARL | CHIEF LEGAL OFFICER, SECRETARY AND VICE PRESIDENT | 4808341 |
| LAPIANA, PAUL ANTHONY | DIRECTOR | 2237245 |
| MALLEE, JOSEPH PATRICK III | DIRECTOR | 4231618 |
| MINK, DAVID MYERS | VICE PRESIDENT AND CHIEF OPERATIONS OFFICER | 2606831 |
| RANDALL, GEORGE ASHLEY IV | FIELD RISK OFFICER | 4881503 |
| REILLY, JENNIFER RHODES | DIRECTOR | 3243154 |
| RISPOLI, FRANK JOSEPH | CHIEF FINANCIAL OFFICER AND TREASURER | 4364402 |
| ROGERS REID, COURTNEY MCKENZIE | CHIEF COMPLIANCE OFFICER | 5374512 |
| VACCARO, JOHN ARTHUR | CHAIRMAN EMERITUS | 2264004 |
| WILKINSON, MARY BEA | VICE PRESIDENT | 2159909 |
Regulatory assets under management
| Total Number of Accounts | 392,820 |
| AUM (Assets Under Management) | $ 90,021,969,258 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 1 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/24/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 |
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.
