Eugene A. 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.
Eugene Arthur King, who also goes by Eugene A King, Gene King, was a registered financial professional .
Eugene is a previously registered financial professional and started their career in finance in 1980. Eugene had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 13, 2016 - March 29, 2019
MERCAP ADVISORS, INC.
December 6, 2016 - March 29, 2019
MERCAP SECURITIES, LLC
January 1, 2010 - December 7, 2016
GLOBAL INVESTMENT ADVISORS, LLC
January 1, 2010 - December 2, 2016
ESSEX SECURITIES LLC
January 2, 2008 - January 1, 2010
INVESTORS CAPITAL CORP.
January 2, 2008 - January 1, 2010
INVESTORS CAPITAL CORP.
July 30, 2002 - January 7, 2008
EQUITABLE ADVISORS, LLC
October 23, 1991 - January 7, 2008
EQUITABLE ADVISORS, LLC
September 23, 1991 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
October 20, 1980 - August 26, 1991
EQUITABLE ADVISORS, LLC
May 5, 1980 - August 26, 1991
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
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 1
Date: 4/23/1980
Registered Representative ExaminationCurrent Firm
MERCAP ADVISORS, INC.
CRD#: 170092 / SEC#: 801-79319
Contact information
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.
