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SK

Samuel S. King

INVESCO DISTRIBUTORS
Atlanta, GA 30309
Some features on this profile are disabled
CRD#: 6703581
SK

Professional summary

Samuel Speight King, who also goes by Samuel S. King, is a registered financial professional currently at INVESCO DISTRIBUTORS, INC. located in Atlanta, Georgia.

Samuel is registered as a RR (Registered Representative) and started their career in finance in 2016. Samuel has worked at 2 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Samuel S. 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Samuel Speight 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®
None

Experience

Current

November 15, 2019 - Present

INVESCO DISTRIBUTORS, INC.

Office #1: 1331 Spring Street Nw Suite 2500, Atlanta, GA 30309
BD
CRD#: 7369
Atlanta, GA
Past

December 6, 2016 - November 8, 2019

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
Newport Beach, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Alabama
(11/15/2019)
RR
Alaska
(11/15/2019)
RR
Arizona
(11/15/2019)
RR
Arkansas
(11/15/2019)
RR
California
(11/15/2019)
RR
Colorado
(11/15/2019)
RR
Connecticut
(11/15/2019)
RR
Delaware
(11/15/2019)
RR
District of Columbia
(11/15/2019)
RR
Florida
(11/15/2019)
RR
Georgia
(11/15/2019)
RR
Hawaii
(11/15/2019)
RR
Idaho
(11/15/2019)
RR
Illinois
(11/15/2019)
RR
Indiana
(11/15/2019)
RR
Iowa
(11/15/2019)
RR
Kansas
(11/15/2019)
RR
Kentucky
(11/15/2019)
RR
Louisiana
(11/15/2019)
RR
Maine
(11/15/2019)
RR
Maryland
(11/15/2019)
RR
Massachusetts
(11/15/2019)
RR
Michigan
(11/15/2019)
RR
Minnesota
(11/15/2019)
RR
Mississippi
(11/15/2019)
RR
Missouri
(11/15/2019)
RR
Montana
(11/15/2019)
RR
Nebraska
(11/15/2019)
RR
Nevada
(11/15/2019)
RR
New Hampshire
(11/15/2019)
RR
New Jersey
(11/15/2019)
RR
New Mexico
(11/15/2019)
RR
New York
(11/15/2019)
RR
North Carolina
(11/15/2019)
RR
North Dakota
(11/15/2019)
RR
Ohio
(11/15/2019)
RR
Oklahoma
(11/15/2019)
RR
Oregon
(11/15/2019)
RR
Pennsylvania
(11/15/2019)
RR
Puerto Rico
(11/15/2019)
RR
Rhode Island
(11/15/2019)
RR
South Carolina
(11/15/2019)
RR
South Dakota
(11/15/2019)
RR
Tennessee
(11/15/2019)
RR
Texas
(11/15/2019)
RR
Utah
(11/15/2019)
RR
Vermont
(11/15/2019)
RR
Virgin Islands
(11/15/2019)
RR
Virginia
(11/15/2019)
RR
Washington
(11/15/2019)
RR
West Virginia
(11/15/2019)
RR
Wisconsin
(11/15/2019)
RR
Wyoming
(11/15/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 2/13/2017
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/6/2016
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/25/2017
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

ID
INVESCO DISTRIBUTORS, INC.
A I M DISTRIBUTORS, INC. | INVESCO DISTRIBUTORS, INC. | INVESCO AIM DISTRIBUTORS, INC. (EFFECTIVE 03/31/08) | INVESCO AIM DISTRIBUTORS, INC. | A.I.M. DISTRIBUTORS, INC. | A I M DISTRIBUTORS, INC.

CRD#: 7369 / SEC#: , 8-21323

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
11 Greenway Plaza Suite 1000, Houston, TX 77046-1173
Mailing Address
11 Greenway Plaza Suite 1000, Houston, TX 77046-1173
Phone number
(713) 214-1919
Established
Delaware since 11/18/1976
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
INVESCO ADVISERS, INC.DIRECT OWNER
GREGSON, MARK WILLIAMCHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATING OFFICER/FINOP2630230
HANCOCK, TRISHA BELLCHIEF COMPLIANCE OFFICER4373744
HARRIS, JERRY CLINTON IIDIRECTOR3275064
KRAMER, BRIAN KEITHDIRECTOR4132102
MCDONOUGH, JOHN CARLINPRESIDENT/CEO/DIRECTOR2363299
WISDOM, CRISSIE MCMENNAMYANTI-MONEY LAUNDERING COMPLIANCE OFFICER2793857

Disclosures

Regulatory Event3

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.

Company Information

INVESCO DISTRIBUTORS, INC.

CRD#: 7369Atlanta, GA 30309

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