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WH

William C. Halpin

C. L. KING & ASSOCIATES
New York, NY 10022
Some features on this profile are disabled
CRD#: 6811470
WH

Professional summary

William Carey Halpin III, who also goes by William C Halpin III, William C Halpin, William Carey Halpin, is a registered financial professional currently at C. L. KING & ASSOCIATES, INC. located in New York, New York.

William is registered as a RR (Registered Representative) and started their career in finance in 2020. William has worked at 1 firm and has passed the Series 63, Series 79TO, Series 7TO, SIE and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

William C Halpin Iii | William C Halpin | William Carey Halpin

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 William Carey Halpin III's CRS (Customer Relationship Summary).
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

June 18, 2020 - Present

C. L. KING & ASSOCIATES, INC.

Office #1: 410 Park Avenue Suite 1620, New York, NY 10022
BD
CRD#: 6183
New York, NY

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
New York
(8/26/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 8/26/2020
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 11/18/2020
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7TO
Date: 6/18/2020
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 2/28/2020
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/30/2024
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

CL
C. L. KING & ASSOCIATES, INC.
C. L. KING & ASSOCIATES, INC.

CRD#: 6183 / SEC#: , 8-17025

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

Main Address
Nine Elk Street, Albany, NY 12207
Mailing Address
Nine Elk Street, Albany, NY 12207
Phone number
(518) 431-3555
Established
New York since 03/03/1972
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (36 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
WEIR, CANDACE KINGPRESIDENT/DIRECTOR, CEO269796
WEIR, AMELIA FARLEYSHAREHOLDER1497338
WEIR, KATHERINE BROUSSARDSHAREHOLDER1497339
GIMON, RICHARD JAMESCHIEF COMPLIANCE OFFICER, DIRECTOR3217139
MCMILLEN, PETER JOHNCHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER2061930
ZORIC, STEVENCOO4074487

Disclosures

Regulatory Event7
Arbitration2
Bond1

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

C. L. KING & ASSOCIATES, INC.

CRD#: 6183New York, NY 10022

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