Richard L. King

KING AND COMPANY

Anderson, SC

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CRD#: 812861

Professional summary

Richard Leo King is a registered financial advisor currently at KING AND COMPANY, INCORPORATED located in Anderson, South Carolina.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1975. Richard has worked at 4 firms and has passed the Series 65, Series 7, F04 and Series 40 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

RICHARD L. KING, PRESIDENT KING AND COMPANY, INC. IS A LICENSED REAL ESTATE BROKER IN CHARGE AND LIFE INSURANCE AGENT BY THE STATE OF SC. NO TIME HAS BEEN DEVOTED TO THESE BUSINESSES: HOWEVER, TIME MADE BE DEVOTED TO THESE BUSINESSES IN THE FUTURE. THE LIFE INSURANCE BUSINESS WOULD BE IN THE NAME OF RICHARD L. KING.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Leo 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

May 27, 2004 - Present

KING AND COMPANY, INCORPORATED

RIA

CRD#: 170032

Anderson, SC

Past

December 2, 1980 - December 16, 1991

EDGAR M. NORRIS & CO., INC.

CRD#: 2928

Past

January 9, 1977 - June 7, 1979

WACHOVIA SECURITIES, INC.

CRD#: 431

Past

September 25, 1975 - April 14, 1978

KLUGH & COMPANY, INC.

CRD#: 492

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

South Carolina
(5/27/2004)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/1/2003

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 9/20/1975

General Securities Representative Examination

Principal/Supervisory Exam

F04

Date: 10/20/1976

Financial Principal Examination

Principal/Supervisory Exam

Series 40

Date: 9/22/1976

Registered Principal Examination

Current Firm

KING AND COMPANY, INCORPORATED

KING AND COMPANY, INCORPORATED | NONE

CRD#: 170032 / SEC#:

South Carolina

Registered Investment Advisory firm - (5/27/2004 Approved)

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Contact information

Main Address

Anderson, SC

Mailing Address

Phone number

(864) 376-3441

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Richard L. King

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Leo King's CRS (Customer Relationship Summary).

Certified licenses

Experience

KING AND COMPANY, INCORPORATED

EDGAR M. NORRIS & CO., INC.

WACHOVIA SECURITIES, INC.

KLUGH & COMPANY, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 4/1/2003

Series 7

Date: 9/20/1975

F04

Date: 10/20/1976

Series 40

Date: 9/22/1976

Current Firm

KING AND COMPANY, INCORPORATED

Contact information

Documents

Red Flags

Company Information

KING AND COMPANY, INCORPORATED

TRUST BUT VERIFY

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