Richard P. 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.
Richard Paul King was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1981. Richard had worked at 14 firms and has passed the Series 66, Series 65, Series 63, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 5, 2006 - May 31, 2012
NATIONWIDE INVESTMENT ADVISORS, LLC
May 1, 2006 - December 5, 2006
NATIONWIDE INVESTMENT SERVICES CORPORATION
January 20, 2005 - May 31, 2012
NATIONWIDE INVESTMENT SERVICES CORPORATION
July 29, 2004 - January 18, 2005
VALIC FINANCIAL ADVISORS, INC.
July 29, 2004 - January 18, 2005
VALIC FINANCIAL ADVISORS, INC.
February 2, 2004 - June 3, 2004
IFMG SECURITIES, INC.
January 29, 2004 - June 3, 2004
IFMG SECURITIES, INC.
October 29, 2000 - January 28, 2004
BROADSTONE SECURITIES
February 1, 1999 - July 14, 1999
BANC ONE SECURITIES CORPORATION
March 7, 1997 - February 1, 1999
WINGSPAN INVESTMENT SERVICES
October 22, 1996 - March 4, 1997
INDEPENDENCE ONE BROKERAGE SERVICES, INC.
December 12, 1995 - October 10, 1996
STANDARD BROKERAGE SERVICES, INC.
February 19, 1993 - December 4, 1995
CAL FED INVESTMENTS
March 3, 1992 - February 1, 1993
EDWARD JONES
May 8, 1989 - March 8, 1990
MORGAN STANLEY DW INC.
February 22, 1985 - July 14, 1987
SMITH, HAGUE & CO., INCORPORATED
June 23, 1981 - August 16, 1984
E. F. HUTTON & COMPANY INC
Primary Firm SEC Registration
NATIONWIDE INVESTMENT ADVISORS, LLC
CRD#: 142373 / SEC#: 801-52664
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
Current Firm
NATIONWIDE INVESTMENT ADVISORS, LLC
CRD#: 142373 / SEC#: 801-52664
Contact information
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 270,365 |
| AUM (Assets Under Management) | $ 15,686,000,000 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/25/2024 | ||
| 01/26/2024 | ||
| 10/26/2022 |
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.
